CASI-F

MARCO COMN PARA LA

EVALUACIN Y GESTIN
DE LA INNOVACIN
SOSTENIBLE

Movilizacin y Mutuo
Aprendizaje (MML) Planes de
Accin:
Incorporacin de la ciencia en
Acciones de la sociedad en la
Investigacin

Este proyecto ha recibido financiacin del Sptimo Programa Marco de Investigacin, Desarrollo
Tecnolgico y Demostracin de la Unin Europea en virtud de acuerdo de subvencin no 612,113.
.
Organizacin responsable de la Fecha de inicio del proyecto:
entrega Enero 2014
UNIMAN
Duracin:
Autores: 42 meses
Rafael Popper
Guillermo Velasco
La Universidad de Manchester La coordinacin de la organizacin:
ARC Fund- Investigacin aplicada y fondo de
comunicaciones
Bulgaria
Monika Popper
Futures Diamonds Nivel de difusin:
Pblico
Fecha de entrega
2017

Como citar este informe

Popper, R., Velasco, G. y Popper, M. (2017). CASI-F: Marco Comn de Evaluacin y Gestin
de la Innovacin Sostenible, informe del proyecto CASI. Entrega 6.2.

Autor correspondiente
Rafael.Popper@manchester.ac.uk

Nota IMPORTANTE
Con el fin de aumentar an ms el impacto y el alcance de CASI-F, los autores han puesto de
acuerdo para publicar varios extractos literales de la Seccin 5 de este informe como parte del
captulo 3 del informe siguiente CASI poltica anual editada por La Universidad de Manchester:

Popper, R. y Velasco, G. (eds.) (2017). Sostenible asesoramiento sobre polticas

Innovacin, CASI informe del proyecto. Entrega 7.2.

ISBN: 978-0-946007-34-9

Unin Europea, 2017

Fotos: Shutterstock, Freepik , Unsplash

Se permite la reproduccin siempre que se cite la fuente. El contenido de esta publicacin no reflejan necesariamente la posicin u opinin de la
Comisin Europea. Ni la Comisin Europea ni cualquier persona que acte en su nombre es responsable del uso que pueda hacerse de la
informacin contenida en esta publicacin o de los errores que puedan quedar en los textos, a pesar del cuidado en su preparacin.

La informacin contenida en este documento se proporciona tal cual y no se da ninguna garanta o

garanta de que la informacin es apto para cualquier propsito en particular. El usuario de la misma
utiliza la informacin en su propio riesgo y responsabilidad. Ni la Comisin Europea ni cualquier persona
que acte en nombre de la Comisin es responsable del uso que pueda hacerse de la informacin
siguiente.
CASI 2017. Reproduccin autorizada siempre que se cite la fuente.
Lista de socios de CASI
PP1 / ARC Fund PP11 / COMUNE DI MONZA
Investigacin Aplicada y Fondo de Comunicaciones Municipio de Monza
5 Alexander Zhendov St Piazza Trento y Trieste
Sofa 1113 20900 Monza
Bulgaria Italia
T +359 2 973 3000 T +39 39 23721
WWW.ARCFUND.NET WWW.COMUNE.MONZA.IT
PP12 / MUNICIPIO DE ESPINHO
PP2 / CUE
Cmara Municipal de Espinho
Coventry University Enterprises
Plaza Dr. Jos Oliveira Salvador
Limited Priory Street
Apartado 700
Coventry, Reino Unido
4501-901 Espinho
5FB CV1
Portugal
T 44 (0) 24 7688 7688
T 351 227 335 800
WWW.COVENTRY.AC.UK
WWW.PORTAL.CM-ESPINHO.PT
PP3 / DBT PP13 / ZSI
Consejo Dans para la Fundacin de Tecnologa Centro para la Innovacin
Toldbodgade 12 Social Ltd Linke Wienzeile 246
DK - 1253 Kbenhavn K A-1150 Wien
Dinamarca Austria
T +45 33 32 05 03 T +43 1 495 0442
WWW.TEKNO.DK WWW.ZSI.AT
PP4 / UH
PP14 / UNIMB
Universidad de Helsinki
Universidad de Miln-Bicocca Nueva
PO Box 40 (Unioninkatu 40)
Plaza de la Universidad, 1 20126
FI-00014 Helsinginyliopisto
Milano, Italia
T +358 294 1911
T +39 2 6448 1
HTTP://WWW.HELSINKI.FI
PP5 / TUDO PP15 / Cleantech Bulgaria
Sozialforschungsstelle Dortmund Cleantech Bulgaria
EvingerPlatz 17 15 Svetlostrui St., ENTR. UN
44339 Dortmund Sofa 1111
Alemania Bulgaria
T 49 231 8596-0 T +359 888 256123
WWW.SFS-DORTMUND.DE WWW.CLEANTECH.BG
PP6 / UP PP16 / Uniman
Universidad de Primorska La Universidad de Manchester
Titovtrg 4 Oxford Road
6000 Koper / Capodistria 9PL Manchester M13
Eslovenia Reino Unido
T +386 56 117523 T +44 161 306 6000
WWW.UPR.SI WWW.MANCHESTER.AC.UK
PP7 / PSTP
PP17 / KU Leuven
Parque de Ciencia y Tecnologa de Poznan
Universidad Catlica de Lovaina
ul. Rubie 46
Oude Markt 13
61-612 Pozna
Bus 5005 3000 Lovaina
wielkopolska
Blgica
Polonia
T +32 16 32 40 10
T 48 61 827 97 00
WWW.KULEUVEN.BE
WWW.FUNDACJA.PPNT.POZNAN.PL
PP8 / INOVA +
PP18 / TL
Inova +
Tecnolgica
Centro de Innovacin de
46 Chervenastena St
Matosinhos Rua Dr. Afonso
1421 Sofia
Cordeiro, 567 4450-007
Bulgaria
Matosinhos Portugal
T +359 2 91912
T 351 229 397 130
WWW.TECHNOLOGICA.COM
WWW.INOVAMAIS.EU
PP9 / META
META Group Srl
Italia PP19 / FD
T +39 07 44 24 82 20
WWW.META-GROUP.COM Futures Diamonds, s.r.o.
PP10 / INCREASE TIME SA Plzesk 98
Increase Time SA 150 00 Praga 5
Rua Dr. Afonso Cordeiro, 877 Repblica Checa
Sala 201 T +44 75 211 38154
4450-007 Matosinhos WWW.FUTURESDIAMOND.COM
Portugal
T 351 229 396 355
WWW.INCREASETIME.PT/
 CASI - F: COMMO NF RAMEWOR KF O RT H EA SSESSMEN TA ND
4 MANAGEMEN a fs USTAINABL IE NNOVACIN

Tabla de contenido
Lista de CASI-F basado en agendas polticas de R&I para SI 5
Lista de Figuras 5
Lista de Tablas 5
Lista de Movilizacin y Cuadros de Mutuo Aprendizaje. 5
Lista de Movilizacin y de Aprendizaje Mutuo Entrevistas sobre CASI-F 6
Lista de CASI-F Cajas de herramientas 6
Lista de Cuadros de Evaluacin del SI 6
Lista de Cuadros de Gestin del SI 6
Lista de Acrnimos 7
Sobre los Autores 8
Expresiones de gratitude 9
Prologo 11
Prefacio 12

1. CASI-F informe 13
2. CASI proyecto 14
3. CASI-F introduccin 15
3.1. Por qu? 15
3.2. Qu? 15
3.3. Cmo? 17
4. CASI-F principios 19
4.1. CASI-F principio de gobierno responsable 20
4.2. CASI-F principio de orientacin prctica del consejo 21
4.3. CASI-F principio de mltiples fuentes de conocimiento 23
4.4. CASI-F principio de perspectivas y transiciones de niveles mltiples 24
4.5. CASI-F principio de evaluacin y gestin de la sostenibilidad multisistmica 25
5. CASI-F metodologa 27
5.1. Paso 1: CASI-F protocolos y herramientas para la relevancia sostenibilidad y escaneo 27
5.2. Paso 2: CASI-F protocolos y herramientas para el anlisis de criterios mltiples y la evaluacin 30
5.3. Paso 3: CASI-F protocolos y herramientas para el anlisis cuestin crtica y la evaluacin 32
5.4. Paso 4: CASI-F protocolos y herramientas para la gestin del consejo de varios niveles 35
5.5. Paso 5: CASI-F protocolos y herramientas para la gestin de hojas de ruta de accin 37
6. CASI-F en accin 44
6.1. CASI-F ayudar a las transiciones de sostenibilidad de las 'innovaciones de producto' 46
6.2. CASI-F ayudar a las transiciones de sostenibilidad de las 'innovaciones de servicio' 48
6.3. CASI-F ayudar a las transiciones de sostenibilidad de las innovaciones sociales 50
6.4. CASI-F ayudar a las transiciones de sostenibilidad de las innovaciones organizativas' 52
6.5. CASI-F ayudar a las transiciones de sostenibilidad de las innovaciones de gobierno 54
6.6. CASI-F ayudar a las transiciones de sostenibilidad de las innovaciones en el sistema 56
6.7. CASI-F ayudar a las transiciones de sostenibilidad de las innovaciones de marketing 58
7. CASI-F impactos y beneficios 60
7.1. Impactos de CASI-F 60
7.2. Beneficios de CASI-F 61
8. CASI-F logros clave, relevancia H2020 y el camino a seguir 64
8.1. Logros clave 64
8.2. Relevancia H2020 65
8.3. El camino a seguir 65
9. CASI-F Glosario 66
10. Referencias 72
11. Anexidades 74
11.1. Anexo 1: paquetes de trabajo del proyecto y las tareas estructura CASI 75
11.2. Anexo 2: CASI-F impulsadas agendas polticas de I + I para la IS 77
11.3. Anexo 3: Visualizando CASI-F 87
11.4. Anexo 4: Visualizando CASIPEDIA 88
11.5. Anexo 5: beneficios e impactos CASI-F 89
 CASI - F: COMMO NF RAMEWOR KF O RT H EA SSESSMEN TA ND
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Lista de CASI-F basado en agendas polticas de R&I para SI

SI Agenda 1: El fortalecimiento de la empata eco-comunitaria y del desarrollo financiados por las masas 77
SI Agenda 2: Desarrollo de las infraestructuras urbanas y rurales sostenibles para la bioeconoma 78
SI Agenda 3: Implementacin de estrategias responsables de medio ambiente y de eficiencia de recursos 79
SI Agenda 4: Creacin de soluciones sostenibles de biocombustibles y energas renovables 80
SI Agenda 5: Promover la previsin para la gobernabilidad sostenibilidad y la inteligencia 81
SI Agenda 6: Avance de reciclaje y uso circular de residuos y materias primas 82
SI Agenda 7: Incorporacin de la sostenibilidad en los modelos de educacin cultural y holsticos 83
SI Agenda 8: Fomento de la eficiencia ecolgica de la agricultura local y de los bio-recursos 84
SI Agenda 9: Implementacin de transporte sostenible y las innovaciones inteligentes de movilidad 85
SI Agenda 10: Tratar las cuestiones climticas y gestionar las emisiones de gases de efecto invernadero 86

Lista de Figuras
Figura 1: CASI-F vista general 17
Figura 2: CASI-F cubo de sostenibilidad 20
Figura 3: CASI-F transiciones del Sistema Socio-tcnicos asistido 24
Figura 4: CASI-F evaluacin de la sostenibilidad multi-sistmica 26
Figura 5: CASI-F evaluacin de temas crticos del Banco de Ideas CASI 33
Figura 6: CASI-F lgicas multi-perspectiva en el anlisis de temas crticos 33
Figura 7: CASI-F enfoque de mltiples partes interesadas y mapeo dimensin de gestin SI mltiple 40
Figura 8: CASI-F enfoque de mapeo aspecto clave de gestin de SI 41
Figura 9: CASI-F enfoque de la dimensin de la gestin SI por el marco de tiempo de implementacin 41
Figura 10: CASI-F SI seccin de pilotos en el Portal CASI 45

Lista de Tablas
Tabla 1: CASI-F alineacin con los principios de gobierno responsables 20
Tabla 2: CASI-F alineacin con los criterios RACER de las Directrices de evaluacin de impacto EC 21
Tabla 3: CASI-F fuentes del conocimiento y la inteligencia estratgica 23
Tabla 4: CASI-F uso de las prioridades de la EC en la accin climtica, el medio ambiente, la eficiencia de
los recursos y las materias primas 28
Tabla 5: CASI-F uso de la Clasificacin Industrial Internacional Uniforme de Actividades Econmicas 29
Tabla 6: CASI-F criterios de para la evaluacin de pleno derecho de las innovaciones sostenibles 31
Tabla 7: CASI-F enfoque multinivel y asesoramiento de mltiples partes interesadas 36
Tabla 8: CASI-F enfoque a las dimensiones de gestin de SI y aspectos clave 39
Tabla 9: CASI-F enfoque multinivel y acciones de mltiples partes interesadas haciendo un mapa de 43
innovaciones 40
Tabla 10: CASI-F beneficios por tipo de actor 61

Lista de movilizacin y Cuadros de Mutuo Aprendizaje

MML Cuadro 1: Sobre la definicin CASI de la Innovacin Sostenible 16
MML Cuadro 2: Sobre la naturaleza holstica de CASI-F 19
MML Cuadro 3: Sobre CASIPEDIA 22
MML Cuadro 4: Sobre los puntos fuertes de CASI-F 24
MML Cuadro 5: Sobre relevancia sostenibilidad y escaneo 28
MML Cuadro 6: Sobre las perspectivas de mltiples partes interesadas 34
MML Cuadro 7: Sobre el consejo de multiniveles 36
MML Cuadro 8: Sobre cmo CASI-F complementa las evaluaciones cuantitativas SI 38
MML Cuadro 9: Sobre las hojas de ruta de accin 42
MML Cuadro 10: Sobre el valor aadido de CASI-F para la investigacin y la educacin 63
 C A S I - F :C O M M O NF R A M E W O R KF O RT H EA S S E S S M E N TA N D
6 M A N A G E M E N TO FS U S T A I N A B L EI N N O V A T I O N

Lista de entrevistas de movilizacin y aprendizaje mutuo sobre CASI-F

MML Entrevista sobre los beneficios e impactos del CASI-F desde la perspectiva de un socio de CASI 89
MML Entrevista sobre los beneficios e impactos del CASI-F desde la perspectiva de un corresponsal
del CASI en el pas 91
MML Entrevista sobre los beneficios e impactos del CASI-F desde la perspectiva de un innovador 92

Lista de cuadros de herramientas CASI-F

Cuadro de herramientas 1: Herramienta CASI-F para relevancia y escaneo en sostenibilidad 30
Cuadro de herramientas 2: Herramienta CASI-F para el anlisis y la evaluacin multicriterios 32
Cuadro de herramientas 3: Herramienta CASI-F para el anlisis y la evaluacin de problemas crticos 35
Cuadro de herramientas 4: Herramienta CASI-F para la gestin de asesoramiento multinivel 37
Cuadro de herramientas 5: Herramienta CASI-F para la gestin de planes de accin 43

Lista de Cuadros de Evaluacin SI

Cuadro de Evaluacin SI 1: CASI-F para la evaluacin de la "innovacin de productos": WAI (SP) 46
Cuadro de Evaluacin SI 2: CASI-F para la evaluacin de la "innovacin de servicio": RUSZ Reparacin (AT) 48
Cuadro de Evaluacin SI 3: CASI-F para la evaluacin de la "innovacin social": Transicin Ahora (DK) 50
Cuadro de Evaluacin SI 4: CASI-F para la evaluacin de la innovacin organizativa: Tempo al Tempo (IT) 52
Cuadro de Evaluacin SI 5: CASI-F para la evaluacin de la innovacin en la gobernanza: Innovation Fur (DK) 54
Cuadro de Evaluacin SI 6: CASI-F para la evaluacin de la "innovacin del sistema": Kindergarten pasivo de la
casa (BG) 56
Cuadro de Evaluacin SI 7: CASI-F para la evaluacin de la "innovacin de marketing": ECOverified (GR) 58

Lista de cuadros de gestin del SI

Cuadro de gestin SI 1: CASI-F para la gestin de la "innovacin de productos": WAI (SP) 46
Cuadro de gestin SI 2: CASI-F para la gestin de la "innovacin de servicios": R.U.S.Z Reparacin (AT) 48
Cuadro de gestin SI 3: CASI-F para la gestin de la "innovacin de servicios": Nueva transicin (DK) 50
Cuadro de gestin SI 4: CASI-F para la gestin de la "innovacin organizativa": Tiempo al Tiempo (IT) 52
Cuadro de gestin SI 5: CASI-F para la gestin de la innovacin en el gobierno: Piel de innovacin (DK) 54
Cuadro de gestin SI 6: CASI-F para la gestin de la "innovacin de sistemas": Jardn de Infantes de la Casa
Pasiva (BG) 56
Cuadro de gestin SI 7: CASI-F para la gestin de la "innovacin de marketing": ECOverified (GR) 58
 C A S I - F :C O M M O NF R A M E W O R KF O RT H EA S S E S S M E N TA N D
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Lista de siglas
AT Austria
BE Blgica
BG Bulgaria
CASI-F Marco CASI
CASIPEDIA Estado de la tcnica de la innovacin sostenible (base de datos en lnea)
CC Corresponsales de pas
CE Economa circular
CEC Ciudadanos-Expertos-Ciudadanos
CZ Repblica Checa
DE Alemania
DK Dinamarca
EEA Agencia Europea del Medio Ambiente
EC Comisin Europea
EU Unin Europea
FD Futuros Diamante
FI Finlandia
FP7 CE Sptimo Programa Marco de Investigacin y Desarrollo Tecnolgico
H2020 Horizonte 2020
ICT Tecnologas de Informacin y Comunicacin
ISO Organizacin Internacional de Normalizacin
IT Italia
JRC Joint Research Centre
MIOIR Centro Comn de Investigacin
MML Movilizacin y aprendizaje mutuo
N/A No disponible
PL Polonia
PR Relaciones pblicas
PT Portugal
R&I Investigacin e innovacin
RES Fuentes de energa renovable
RRI Investigacin Responsable e Innovacin
RTDI Investigacin, Desarrollo Tecnolgico e Innovacin
Desafo Social 5 sobre Accin Climtica, Medio Ambiente, Eficiencia de Recursos y Materias
SC5 Primas
SI Innovacin Sostenible
SiS Ciencia en la sociedad
SL Eslovenia
SMART Especficos, mensurables, asignables, realistas, relacionados con el tiempo
SMEs Pequeas y medianas empresas
STI Ciencia, Tecnologa e Innovacin
UNIMAN Universidad de Manchester
UK Reino Unido
VTT Centro de Investigaciones Tcnicas de Finlandia
WP Paquete de trabajo
 C A S I - F :C O M M O NF R A M E W O R KF O RT H EA S S E S S M E N TA N D
8 M A N A G E M E N TO FS U S T A I N A B L EI N N O V A T I O N

Acerca de los autores

Rafael Popper (PhD) es cientfico principal en prospectiva, dinmica organizacional y cambio sistmico en el Centro de
Investigacin Tcnica VTT de Finlandia, e investigador en el Instituto de Investigacin de Innovacin de Manchester (MIOIR) de la
Universidad de Manchester, donde complet su doctorado en 21 Century Foresight. Tambin es director de educacin ejecutiva
en Foresight y Horizon Scanning en la Manchester Business School (MBS); director de innovacin y CEO de Futures Diamond en
el Reino Unido y la Repblica Checa; y ha sido Director de iKnow (sistema de innovacin, prospectiva y exploracin Horizonte) y
director de las actividades de cartografa de la Plataforma Europea de Prospectiva (EFP). Sus principales reas de trabajo son: la
previsin como instrumento de la poltica de innovacin, el desarrollo de la prospectiva y la metodologa de exploracin de
horizonte y el diseo de actividades prospectivas y su evaluacin centrada en las polticas de innovacin tecnolgica y social. Es
economista de la Universidad Central de Venezuela (UCV) y tambin ha trabajado como investigador en la Organizacin de las
Naciones Unidas para el Desarrollo Industrial (ONUDI), con sede en el parque cientfico de Trieste, en Italia. En la ONUDI, el Dr.
Popper fue responsable del Programa de Prospectiva Tecnolgica para Amrica Latina y el Caribe (ONUDI TF-LAC) y de apoyo
activo al programa de Prospectiva Tecnolgica para Europa Central y Oriental y Nuevos Estados Independientes (UNIDO TF-CEE /
NIS). En el proyecto CASI, el Dr. Popper lidera el paquete de trabajo sobre el "Estado de la tcnica de la Innovacin Sostenible" y
varias tareas, entre ellas: la "Propuesta de marco comn para la evaluacin y gestin de la Innovacin Sostenible" (CASI-F)
finalizacin del CASI-F; Preparacin de un Informe de Poltica Anual sobre SI y el entrenamiento en lnea para la aplicacin del
CASI-F (tambin conocido como CASI Tutorial).
Guillermo Velasco (PhD) trabaja como investigador en el Instituto de Investigacin de Innovacin de Manchester, donde ha
completado su doctorado en el campo de las polticas de inteligencia estratgica para la innovacin. Sus intereses de investigacin
se relacionan con los mtodos anticipatorios basados en el futuro, la formulacin de recomendaciones polticas y el anlisis crtico
del discurso. Actualmente est analizando cmo las actividades orientadas hacia el futuro pueden conducir a un asesoramiento de
polticas ms consistente. Es licenciado en economa industrial por la Universidad Politcnica de Madrid (UPM) y licenciado en
economa e innovacin por UPM y EU-SPRI. Tiene experiencia en las industrias creativas, como director de innovacin, y ha
participado activamente en la concepcin y el desarrollo de la innovacin de productos, en la gestin de los derechos de propiedad
intelectual y de la marca y en la evaluacin corporativa del "pensamiento de diseo". Tambin ha trabajado como asesor de
Organizacin Industrial en Espaa y Suecia. Participa en varios proyectos financiados por la Comisin Europea, como el suministro
de informacin sobre el futuro del ERA (proyecto VERA) y el desarrollo de un marco comn para la gestin de la innovacin
sostenible (CASI), as como en otras iniciativas de exploracin de Horizonte patrocinadas por el NHS del Reino Unido, para
identificar nuevas tecnologas y modelos de atencin. Guillermo tambin colabora como Master Executive Lecturer de estrategias
de Internacionalizacin para la Universidad Europea de Madrid. En el proyecto CASI ha contribuido a numerosas tareas, entre
ellas: el mapeo de innovaciones sostenibles; el diseo y pilotaje del CASI-F; la edicin de un informe de poltica anual y el tutorial
del CASI.
Monika Popper (MSc) es COO y Gerente Senior de Proyectos de Futures Diamond, una compaa de investigacin y
desarrollo tecnolgico con sede en el Reino Unido y la Repblica Checa. Ella desempea un papel fundamental en la gestin de
actividades y personas involucradas en procesos / producto / servicio / innovaciones sociales y sistemas TIC relacionados que
apoyan la prospectiva, el escaneo de Horizonte y otros procesos de investigacin y polticas. Monika continu sus estudios de
posgrado en el programa de maestra en gestin de la salud de la Escuela de Negocios de Manchester y ha estado involucrada en
la organizacin de varias actividades de participacin de los grupos de inters y la preparacin de informes de polticas sobre la
salud y la seguridad alimentaria, la seguridad alimentaria y la innovacin sostenible (IS), incluyendo la revisin de la evolucin y la
aplicacin de las polticas de las PYME, entre otras actividades de investigacin. En los ltimos aos ha trabajado en el rea de
evaluacin y gestin de la innovacin: decisiones de innovaciones sociales y tecnolgicas en varios pases europeos y colaborar
con innovadores y otros actores relevantes para crear crecimiento, competitividad y sostenibilidad de las innovaciones. En el
proyecto CASI encabeza el paquete de trabajo "Comunicacin y difusin" paquetes de trabajo a travs de Fu (Diamond Frame),
que son la columna vertebral de CASIPEDIA, el tutorial de CASI, el blog de CASI, las actividades de vigilancia de polticas y las
herramientas CASI-F descritas en este informe.
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Agradecimientos
Durante un perodo muy intenso de 40 meses, los autores
de este informe han desarrollado CASI-F en el contexto del
proyecto CASI sobre "Participacin pblica en el desarrollo
de un marco comn para la evaluacin y gestin de la
innovacin sostenible", que recibi financiacin de la Unin
Europea El Sptimo Programa Marco de la Unin para la
investigacin, el desarrollo tecnolgico y la demostracin en
virtud del acuerdo de subvencin nmero 612113. Durante
este perodo, los autores se han beneficiado del valioso
apoyo de varios funcionarios de la Comisin Europea,
especialmente Giuseppe Borsalino (responsable del servicio
pblico y multi- participacin en la direccin general de
Investigacin e Innovacin - DG I + I) y Josefina Enfedaque
(responsable de poltica de la unidad de gestin sostenible
de los recursos naturales, DG I + I).
Adems, este trabajo es en parte el resultado de un proceso
continuo de movilizacin y aprendizaje mutuo (MML) en el
que participan 19 socios de 12 pases de la UE y una red de
expertos (corresponsales nacionales) en los 16 pases
restantes, garantizando as una cobertura completa del
UE28. Mientras que los autores han liderado los principales
paquetes de trabajo (WP2 y WP10) y actividades (Tareas
4.2, 6.2 y 9.1) que llevaron al CASI-F a su forma actual o
'final' (ver Anexo 1), la evolucin y ' sin el aporte de valiosas
contribuciones, retroalimentacin y debates provocativos
entre colegas de las siguientes organizaciones asociadas:
Fondo de Investigacin Aplicada y Comunicaciones (BG),
Empresas de la Universidad de Coventry (Reino Unido),
Consejo Dans (DK), Centro de Investigacin de la
Sociedad del Consumidor de la Universidad de Helsinki (FI),
Universidad Tcnica de Dortmund (DE), Universidad de
Primorska (SL), Parque de Ciencia y Tecnologa Poznan de
la Fundacin Universitaria Adam Mickiewicz (PL), INOVA +
PT), Grupo de META (IT), Tiempo de Aumento (PT),
Municipio de Monza (IT), Ayuntamiento de Espinho (PT),
Centro de Innovacin Social (AT), Universidad de Milano-
Bicocca (IT), Cleantech Bulgaria ), El Instituto de
Manchester de Investigacin en Innovacin de la
Universidad de Manchester (Reino Unido), la Universidad
Catlica de Lovaina (BE), TechnoLogica (BG) y Futures
Diamond (CZ). Igualmente importante fue el compromiso y
el arduo trabajo de los corresponsales del CASI: Marika
Ro (Letonia), Merit Tatar (Estonia), Antonis Zorpas
(Chipre), Sbastien Soleille (Francia), Warren Phelan
(Irlanda), Yuliya Voytenko Frans Coenen (Pases Bajos),
Foteini Psarra (Grecia), Brian Restall (Malta), Dolores
Ordoez Martnez (Espaa), Olga Mala (Luxemburgo),
Edgaras Leichteris (Lituania), Cristian-Marius Moisoiu ,
Erds Katalin (Hungra) y Rai Domagoj (Croacia). Su
aportacin fue particularmente importante para las
actividades de evaluacin de SI (tambin conocidas como
pasos 1-3 de CASI-F, ver Seccin 5), especialmente para la
co-creacin y enriquecimiento del banco CASIPEDIA.
9
Del mismo modo, por su compromiso continuo, los esfuerzos y la
colaboracin mutuamente beneficiosa durante el proceso de
mapeo (SI evaluacin) y el estudio piloto (SI orientado a la
gestin), apreciamos profundamente y agradecer a los
innovadores de: Austria (Arche Noah, RUSZ, Social Festival,
Solar Repblica Checa (KOKOZA, REKOLA, Limpiemos la
Repblica Checa), Dinamarca (ciudades, sistema BioTrans, Piel
de innovacin, Transicin), Blgica (Contenido, Energybook),
Bulgaria (AHA Car, M Cube, Pasivo Kindergarten, 3D Ecobus)
Ahora), Finlandia (da de la limpieza, doctor del clima,
refrigeracin del distrito, Kutsuplus), Alemania (escuela de 50 / 50
y, GT VET Educacin y Formacin Profesional Tcnica, Dorf-
ist-Energie (klug), Stromsparcheck, Grecia (ECOverified), Italia
(Compartiendo Torino, Tiempo al Tiempo, Red de Banco de
Alimentos), Polonia (PPNT Gdynia, PEKA, Complejo Forestal
Promocional JuraPark) (EcoSchool, Ponika, Toring), Espaa
(WAI) y Reino Unido (Edificio Independiente de Localizacin,
Ingeniera e Informtica), Portugal (Hidroelectricidad, Proyecto
Lightning Living, Ros, Bussaco Digital). Por supuesto, agradezco
especialmente a los equipos de CASI de Empresas de la
Universidad de Coventry (Reino Unido) y de la Universidad
Tcnica de Dortmund (DE) por dirigir el pilotaje de las actividades
de gestin de asesoramiento multinivel (tambin conocido como
Paso 4 del CASI-F) e INOVA + PT) por dirigir la implementacin
del trabajo de gestin de las hojas de ruta de accin (tambin
conocido como Paso 5 del CASI-F).
A lo largo del proyecto tambin recibimos un valioso apoyo y
asesoramiento de: expertos en sostenibilidad e innovacin
Veronica Snchez Romaguera, Jakob Edler, Ian Miles, Jonathan
Pinkse y Rainer Walz; una Junta Asesora interna - Attila Havas,
Claire Nauwelaers y Philine Warnke; un Comit Asesor externo -
Cristina Chiotan, Marlen Arnold y Bill Wadsworth; un evaluador
externo - Mahshid Sotoudeh; y todos los participantes en los
eventos de aprendizaje mutuo de CASI (seminarios de
aprendizaje mutuo, paneles ciudadanos, talleres de expertos,
talleres de partes interesadas, dilogo sobre polticas) en 12
pases de la UE.
Adems, quisiramos agradecer a otros coautores - Joe Ravetz,
Effie Amanatidou, Maria Schwarz-Woelzl, Zoya Damianova,
Ventseslav Kozarev - de la Dra. CASI-F (CASI Entregable 4.2)
que, aunque estructuralmente y con contenido Diferentes de este
informe, ayudaron a desencadenar varios procesos de
aprendizaje mutuo que sirvieron de base para la revisin y
finalizacin del CASI-F.Asimismo, los autores agradecen a
Catarina Azevedo ya Marta Pinto de Inova + por su actitud
profesional y compromiso con la implementacin de WP6 la
gestin de la innovacin sostenible), as como para entender que
la conclusin de este informe tuvo que esperar hasta que los 43
pilotos fueron ejecutados con xito y analizados.
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10 M A N A G E M E N TO FS U S T A I N A B L EI N N O V A T I O N

Un agradecimiento especial por la inspiracin, motivacin y

Por ltimo, queremos expresar nuestro sincero agradecimiento a
apoyo tan necesarios que mantuvieron a los autores de este
los influyentes actores polticos e investigadores que nos
informe pasando por los tpicos altibajos de un viaje de
ayudaron a aumentar el alcance del CASI-F, a nivel nacional y de
investigacin: Ian Miles (Profesor de Innovacin Tecnolgica
la UE. En particular, damos las gracias a Miroslava Kopicov
y Cambio Social de la Universidad de Manchester) y Tiina
(Director del Fondo Nacional de Formacin y ex ministro de
Pajula (Cientfico Principal en Evaluacin de Sostenibilidad
educacin de la Repblica Checa), quienes crean firmemente en
en el Centro de Investigacin Tcnica del VTT de Finlandia)
el trabajo en las primeras etapas del CASI-F, proporcionaron una
para el Prefacio, su evaluacin perspicaz, independiente e
perspectiva poltica relevante y apoyaron los aspectos MML de el
inspiradora sobre el potencial futuro de CASI-F, as como
proyecto CASI; y Robbert Fisher (Director Gerente del JIIP -
para su retroalimentacin sobre las agendas polticas de I +
Instituto Conjunto de Poltica de Innovacin) por haber apoyado
Anexo 2); a Kamila Dobek y Magorzata Piotrowicz
al CASI-F al final de su viaje invitndonos a un par de propuestas
(investigadores del Parque Cientfico y Tecnolgico de
para las convocatorias de la Agencia Europea del Medio
Poznan), que facilitaron la promocin del CASI-F mediante
Ambiente (EEA) y Horizonte 2020. En caso de tener xito, stos
la visualizacin de las principales caractersticas del marco y
permitiran a los autores continuar trabajando en algunas de las
CASIPEDIA con la ayuda de la diseadora grfica Judyta
ideas presentadas en la Seccin 8.3 sobre el camino a seguir.
Dbrowska (vanse los Anexos 3 y 4 ); a Luk Dohnal
(desarrollador de tecnologa de Futures Diamond) que, junto
con los autores, desempe un papel clave en la
implementacin tcnica de las herramientas CASI-F y
mostr un compromiso sin fin con la exigente agenda de
CASI; a Anita Tregner-Mlinari (gerente de Proyectos y
Desarrollo de Negocios de Meta Group) por ser una fuente
continua de motivacin en todo el proyecto CASI; a Frances
Brown por corregir el informe y confirmar su estructura
lgica, legibilidad y claridad del contenido; y al creciente
nmero de actores comprometidos que informan sobre los
beneficios e impactos del CASI-F (vase tambin el Anexo
5), incluyendo: Mattia Martini y Giorgio Beltrami
(Investigador y profesor de la Universidad de Milano-
Bicocca), quienes promovieron y facilitaron el la
incorporacin de CASI-F entre los estudiantes del Mster
mediante el fortalecimiento de su capacidad y 'infectndolos'
con la actitud adecuada para participar en una actividad de
proveedores de pblico, utilizando y aplicando CASI-F para
apoyar la evaluacin y administracin de iniciativas reales
de SI; Edgaras Leichteris (corresponsal de CASI para
Lituania), quien ha estado promoviendo activamente la
metodologa CASI-F como una solucin prctica de
gobernanza multinivel que facilita la participacin de
mltiples partes interesadas; y Antonios Lygidakis
(cofundador del caso ECOverified pilotado por CASI), entre
otros.
 C A S I - F :C O M M O NF R A M E W O R KF O RT H EA S S E S S M E N TA N D
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Foreword
Ian Miles
Professor of Technological
Innovation and Social Change
Manchester Institute of
Innovation Research,
Manchester Business School,
The University of Manchester
Sustainable innovation brings together two complex terms.
Innovation can refer to the process of creating something
new, or the novel thing itself. For the innovative activity or
object to be sustainable, it needs to be itself embedded in
a web of practices and flows that enable its persistence.
But of course we are particularly interested in innovative
products that themselves contribute to social and
environmental sustainability, and processes of innovation
that move us on to more trajectories that are more
sustainable in this sense. As pressures to achieve this
grow, so each sense of sustainability is liable to reinforce
the other for an innovation to be sustainable, it will need
to support sustainability. This simple formulation, however,
points to a complex set of issues. How are judgements of
sustainability to be brought into decisions and designs, into
development and dissemination, of innovation?
CASI-F represents a framework that is intended to help us
navigate these tricky matters. Now, of course, there are
already numerous tools and sustainability assessment
frameworks, with over 80 ISO standards alone. Following a
thorough literature review of these existing frameworks
(see Saurat et al., 2015; Lopez et al., 2015; Pihkola et al.,
2016a, Pihkola et al., 2016b and Section 4.5), there was
seen to be a need to complement existing sustainability
frameworks with an approach that is more forward-looking
and action-oriented, focusing specifically on increasing the
sustainability of innovation/ innovation processes. The
complementarity of CASI-F cannot be over-emphasised. Its
future use would benefit from additionally building in a step
incorporating ISO sustainability standards and quantitative
assessment methods and tools (such as Life Cycle
Assessment) - either as a preliminary task, or as a cross-
cutting activity complementing all the steps of CASI-F (see
Section 8.3). This is needed to avoid narrowing the use of
CASI-F as a mainly ameliorative tool, employed to increase
the sustainability of unsustainable innovations (i.e. those
which may prove to be profitable, but have negative
environmental and/or societal impacts).
Tiina Pajula
Principal Scientist in
Sustainability Assessment
VTT Technical Research
Centre of Finland
11
The three axes of the proposed Sustainability Cube help explain
the approach (Figure 2). Axis 1 extends the conventional triple
bottom line (environment, economy, society) with two additional
transformation area s (government and infrastructure systems).
Axis 2 allows us to take account of the diversity of innovations,
focusing on seven types of innovation (Track 1). These seven types
emerge at the niche level, and may impact on the regime and
landscape levels using the terminology and analysis developed in
the (socio-technical system) transition management perspective.
This allows for the assessment of evolving policy issues shaping
the regime - across all EU28 countries, with 100+ Policy Briefs
produced (Track 2).
Finally, Axis 2 integrates the aspirations and visions of citizens
through structured public engagement and mutual learning
facilitated by a citizen-expert-citizen process that helped to identify
research priorities (Track 3). Axis 3 of the cube illustrates CASI-F in
action (involving five steps); the key figures, discussed in Section 5
of this report, reflect the considerable volume of work conducted in
the course of the CASI project.
As this report demonstrates, CASI-F has succeeded in engaging,
mobilising and promoting mutual learning across a wide range of
stakeholders, particularly including innovative actors in government,
business, civil society, and research and education. The approach
encouraged and empowered them to take the driving seat in the
process - to produce their own action roadmaps to address the
critical issues they themselves identified. In this sense, CASI-F, as
a methodology, is already potentially self-sustainable: the know-
how is already transferred, and we shall consider what actions will
encourage its further use and embedding. Now the CASI team is
harvesting success stories that are being organically embedded in
education and capacity-building courses associated with the
project, such as the CASI Tutorial, a Masters programme in the
University of Milano-Bicocca and the executive education course on
foresight and horizon scanning at the University of Manchester,
where students and participants are using CASI-F protocols and
tools to structure and conduct their sustainable innovation case
studies. Finally, we would like to mention one way in which the work
on CASI-F has contributed to explicating some of the features that
underlie the complexity of the topic of sustainable innovation. The
process of developing CASI-F, involving the identification and
assessment of more than 500 SI cases, also explored the
sustainability goals (short-medium-to-long-term) pursued by
innovators. This by-product of the project, identifying 10 distinct
agendas for Research and Innovation policy, is itself a result that
many readers may find of interest. The agendas range from
proposing initiatives in specific fields (e.g. Agenda 8 concerns the
fostering of eco-local-agriculture and eciency in the production
and use of bio-resources) to more generic perspectives on policy-
making (e.g. promotion of greater foresight and use of sustainability
governance and intelligence). Full details of the agendas, and their
relations to priorities in H2020 and in citizen perspectives, are
presented in Annexe 2 of this report.
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12 M A N A G E M E N TO FS U S T A I N A B L EI N N O V A T I O N
Preface
Back in 2014, right a"er the CASI kick-o meeting, my
then five-year-old son Samuel was building a wooden
block construction when still at nursery. The bigger
and taller it grew, the more interested his peers
became in knocking it down. They tried approaching it
several times, plotting an attack strategy, running and
jumping around, trying hard to succeed. Finally, in the
face of repeated attacks and challenging behaviour,
my son stood his ground, exclaiming: If you break my
construction I am going to make it bigger!!!
Rafael Popper
(Sammys Dad)
Director of Executive Education in Foresight and
Horizon Scanning
Manchester Institute of Innovation Research, Manchester
Business School, The University of Manchester
&
Principal Scientist in Foresight, Organisational
Dynamics and Systemic Change
VTT Technical Research Centre of Finland
Building CASI-F as Europes next generation Sustainability Toolbox
The CASI-F journey was a not an easy undertaking. Confronted
with the challenges that are somehow intrinsic to sustainability
and innovation concepts and practice, and the inevitable obstacles
one can encounter when conducting a collaborative action
research study, we have carefully assessed and managed all
critical issues that came our way and kept on moving forward.
A"er all, meaningful, long-lasting and sustainable results are
o"en stronger when they grow outside of ones comfort zone.
While almost anything in life is perfectible, CASI-F is now finalised
and we feel its building blocks are made of bricks. Thus, we are
not worried about wolves trying to hu, pu and blow the CASI-F
away. In fact, the growing number of impacts, achievements and
endorsements we have been discovering, receiving and witnessing
throughout the project simply demonstrates that the sustainable
commitment that the extended CASI family has shown towards
CASI-F is paying o.
This report marks the final contractual
stop of the CASI-F journey. Yet, at
the same time highlights the way
forward and the potential for a
new sustainability assessment and
management framework (CASI-F) to
thrive beyond the life of the project.
Moreover, to further advance the
uptake of CASI-F in Europe and the
world, a free online training course on
Sustainable Innovation Assessment
and Management: Widening Horizons
on climate action, environment,
resource eciency and raw materials
was developed and organised around 6 Modules and 12 Units
promoting mobilisation and mutual learning in sustainable
innovation and related topics.
The course is available at http://www.casi2020.eu/tutorial/
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1. The CASI-
F report

This report has been compiled to meet the

objectives of Work Package 6 (WP6), namely
the Management of Sustainable Innovation,
and in particular Task 6.2 that focuses on the
Revision and Finalisation of CASI-F (Common
Framework for Assessment and Management
of Sustainable Innovation).
The final version of the CASI-F, as presented in
this report, was informed by a number of
preceding tasks and includes inputs from
seminars and workshops with a wide range of
societal stakeholders, as well as
recommendations and feedback gathered from
innovators during the mapping of sustainable
innovation (SI) initiatives and piloting of CASI-F
implementation. The testimonies of stakeholders
are therefore presented within the report, in order
to further validate the versatility, usefulness and
eectiveness of CASI-F, as perceived by its users.
A"er a brief description of the CASI project in
Section 2, Section 3 discusses CASI-F in terms of
the basic why, what, and how questions.
Section 4 introduces some five underlying
principles of CASI-F (principle of responsible
governance, principle of practical advice
orientation, principle of multiple sources of
knowledge, principle of multi-level perspectives
and transitions, and principle of multi-systemic
sustainability assessment) applied to all three
CASI-F tracks, i.e. innovations, policies and
aspirations.
(Step 1) sustainability relevance and scanning,
(Step 2) multi-criteria analysis and assessment,
(Step 3) critical issue analysis and assessment,
(Step 4) multi-level advice management, and
(Step 5) action roadmaps management.
While all five steps apply to the above-mentioned three tracks, with protocols
and tools adapted to fit the needs of each track, Section 5 will focus on the
first track of CASI-F (innovations), which was fully piloted and can be
supported with practical examples of the application of CASI-F.
Section 6 provides these examples as strong evidence of CASI-F in action
being a powerful mobilisation and mutual learning tool. To back up the claim
of CASI-F versatility, the section includes examples of its application to
support the assessment and management of critical issues in seven selected
product, service, social, organisational, governance, system and marketing
innovations from the 43 SI cases used to pilot CASI-F.
Section 7 discusses the current and potential impacts of CASI-F in
terms of promotion and deployment of the framework, as well as the
benefits of CASI-F for government, business, civil society and
research and education actors. The report concludes with some final
remarks in Section 8 highlighting the key achievements, H2020
relevance and the way forward for CASI-F.

Section 5 presents the core of the CASI-F

methodology, consisting of five mutually
reinforcing sets of protocols and tools (or
steps) that constitute the framework, namely:
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14 M A N A G E M E N TO FS U S T A I N A B L EI N N O V A T I O N

The CASI project (Public participation in Developing

a Common Framework for Assessment and
Management of Sustainable Innovation) aims to
respond to one of the Grand Challenges set out
in the Horizon 2020 programme of the European
Union, namely Climate action, environment
resource eciency and raw materials. It
represents an EU-wide cross-sectoral partnership
on innovation-related challenges and considers
not only the impacts of social and technological
innovation, but also the types of actors involved
and their inherent interests. It thus eectively
integrates the perspectives of civil society,
SMEs, industry, policy stakeholders and leading
academics.

CASI is based on the understanding of innovation

as a key driver of societal progress in the age of
technology and of imminent uncertainties about
the future. Sustainable innovation further enhances
this understanding by introducing sustainability as
a focal core of the innovation process and as an
objective of innovation diusion through social
and market opportunities. At the same time, this is

2. The
not an attempt to introduce yet another distinctive
type of innovation. Rather, CASI fosters a debate
on conceptual dimensions, policy boundaries and
good practices, combining innovative pursuits with
CASI project scope of sustainable innovation as a societal

sustainability objectives.

A collaboration among partners investigates the

phenomenon and enables the elaboration of an

assessment and management framework for
sustainable innovation practices, based on a sound
conceptual framework and a shared understanding
of sustainability in innovation processes among
For more information please visit: www.casi2020.eu
stakeholders. CASI further explores the impacts
of innovative practices, as well as of specific
technological and social innovations, vis--vis
the persisting challenges of climate change and
resource depletion, and the societal eects thereof.
Thus, it makes a thorough inquiry into the balance
between the social, economic and
environmental impacts of innovations, and
helps determine the scope and priorities for
national and EU policy-making.

CASI is supported by the Science in Society

Programme of FP7, Theme SiS.2013.1.2-1
Mobilisation and Mutual Learning (MML) Action
Plans: mainstreaming Science in Society actions in
research. It is coordinated by the Applied Research
and Communications Fund (ARC Fund), a
Bulgarian non-governmental policy and innovation
research institute. The projects consortium includes
19 partner organisations from 12 EU countries and
relies on an extended network of national experts in
the remaining 16 countries not represented in the
consortium, in order to ensure coverage and inquiry
in every EU member state.
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3. CASI-F introduction
3.1. Why?
The trend of wider societal engagement gained particular
prominence and importance in 2013 within the 7th
Framework Programme (FP7) of the European Commission,
and was further reinforced via the succeeding Horizon 2020
Framework Programme for Research and Innovation (2014-
2020). With the implementation of Horizon 2020 projects, a
wide range of societal stakeholders, including the general
public, is being involved and actively participating in Science,
Technology and Innovation (STI) activities responding to one
of the seven Societal Challenges defined by the EC and
listed in Horizon 2020. In the context of the CASI project the
participatory solutions aim to address the sustainability
aspects of the 5th EU Societal Challenge on Climate Action,
Environment, Resource Eciency and Raw Materials (SC5),
while supporting the assessment of sustainable innovation
as spelled out in the second specific challenge of the
Mobilising and Mutual Learning Action Plans (MMLAP)
topics, listed in the Science in Society call for proposals of
the Capacities Work Programme 2013. Furthermore, CASI
was proposed within the context of the Europe 2020
Strategy; therefore it also embraces the aspirations to
achieve smart, sustainable and inclusive growth, taking
account of the economic, social and environmental aspects
of sustainability.
While stimulating wider societal engagement is currently
one of the main objectives in European policy-making,
incorporating public concerns, interests and needs into
the CASI-F-related formulation and validation activities
were of particular importance to the project, in order to
ensure the suitability, versatility and applicability of the
framework to multiple contexts and actors.
3.2. What?
Over 42 months, between 2014 and 2017, the CASI project
has created and piloted a common framework (CASI-F) for
the assessment and management of SI together with
practitioners, including experts, innovators, policy-makers
and civil society actors. The framework supports multi-
stakeholder engagement in a participatory, evidence-based
and forward-looking strategic analysis of critical issues
related to sustainable innovations addressing SC5. CASI-F
is the result of a research and technology demonstration
process, based on an extensive and comprehensive analysis
of 500+ case studies, 40+ pilots with innovators,
participatory workshops and focus groups, supported by
desk research and knowledge crowd-sourcing strategies
enabled by web-based tools, for the systematic assessment
and management of sustainable innovation.
15
Overall, CASI-F was envisaged as a holistic tool to support forward-
looking decision-making at strategic, tactical and operational levels
for government, business, civil society and research and education
actors. Moreover, CASI-F is a living knowledge co-creation, co-
assessment and co-management tool aiming to improve the
economic, social and environmental sustainability of the following
seven types of innovations: product, service, social, organisational,
governance, system and marketing.
It should be noted that CASI-F complements but does not replace
other mainstream frameworks (see Pope et al., 2004; Singh et al.,
2011; Ness et al., 2007; Gasparatos et al., 2008; Hacking and
Guthrie, 2007; Hansen et al., 2009), such as life cycle assessment,
eco-eciency, eco-design, footprint analyses, etc. While other tools
and frameworks measure and assess quantitative sustainability-
related indicators, CASI-F sets out to assess and manage the more
intangible, yet equally important, aspects pertinent to sustainable
innovation with a view to assisting or enabling future socio-technical
system transitions.
The prime objective of the CASI project is to develop a
common framework for the assessment and management of
sustainable innovation, hereina"er referred to as CASI-F.
While having such a sharp 10-word objective seems like a
straightforward starting point, the reality is that there is
plenty of ambiguity in the terms common, framework,
assessment, management, sustainable and innovation.
What is the meaning of sustainable, innovation or sustainable
innovation? By definition, sustainable is an adjective for
maintaining something at a certain rate or level, while innovation
is a noun referring to the outcome or process of doing new things.
Putting these two definitions together would make sustainable
innovation anything that maintains the outcome or process of doing
new things at a certain rate or level. However, such a definition
does not specify the kind of new things considered or the rate and
type of changes to be maintained. For this reason, and to combine
both scholarly and participatory approaches to defining sustainable
innovation, the CASI project undertook a systematic literature
review of the use of the term across all EU28 countries and beyond,
complemented by a stakeholder survey gathering 1 500+
responses, and the systematic review of 500+ sustainability-
oriented innovations, in order to develop the following working
definition: Sustainable Innovation is any incremental or radical
change in a socio-technical system (including social, service,
product, governance, organisational, system and marketing
solutions) leading to positive environmental, economic and social
transformations without compromising the needs, welfare and
wellbeing of current and future generations (Popper et al., 2016).
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The term common is o"en understood in two

dierent ways. It could refer to something that is
ordinary, routine or typical, in which case there
would be nothing new to be developed by CASI;
or to something that is done or shared by two or
Overall, based on the aggregated feedback from
more (groups of) actors. The latter interpretation
participants of CASI Mutual Learning Seminars organized
was the obvious choice for CASI-F, which
in 12 EU countries, it was largely concluded that the:
added value of CASIs definition of sustainable innovation lies in
implied the mobilisation of multiple actors during
that it provides more clarity and precision to current definitions and
its creation, piloting and wider use.
The word framework could mean a set of physical or
understanding of SI. Generally it was agreed upon by participants
virtual platforms (tools) around which something is
that the definition covers all relevant dimensions of SI and
developed, or a system of ontologies, methods and
incorporates the necessary specification/detailisation. CASI
procedures (protocols) to inform and support decision-
definition of SI was considered very solid as it is based on a robust
making. To choose one of these options was neither
inductive approach based on sound research, mapping, and
possible nor suitable for CASI-F, as both sets of
integrative analysis. In particular, a shared sentiment by key actors
practical tools and guiding protocols were needed. As
was that the definition developed in CASI could be further
a result, CASI-F consists of several web-based
promoted for integration into EU funding programmes in the post-
interconnected tools, including CASIPEDIA (a
2020 strategic period in order to provide evidence-based
Mapping Environment supporting the analysis of SI
guidelines for sustainability and inform EU-wide expenditure
cases in terms of SI practices, SI outcomes and SI
in the areas of transport, climate, agriculture,
players), an Ideas Bank, Policy Briefs Bank, Visions
regional development, and so on.
Bank and an Actions/Roadmaps Bank, supported by a
Source: (Ivanov et al., 2016)
set of interconnected protocols for the assessment
and management of SI initiatives.

This duality of CASI-F is similar to that of the

Microso" Oce or the Adobe Suite packages,
MML Box 1: On the CASI definition of Sustainable Innovation which include a group of complementary
applications and tools, providing templates or
functionalities for specific data gathering, access,
The terms assessment and management denote very clear
processing and visualisation activities (protocols).
sets of complementary activities. In the context of the CASI
While the CASI-F protocols were developed in the
project a five-step approach was employed and focused on:
context of the state-of-the-art activities of the CASI
project, the online tools were basically adapted
1. sustainability relevance and scanning: identifying
from existing ICT systems and solutions (i.e. FDs
innovations, policies and aspirations relevant to the
mapping environment and Diamond Frame)
societal challenge of climate action, environment, resource
supporting research and innovation activities.
eciency and raw materials at national and EU levels;
2. multi-criteria analysis and assessment: selecting or prioritising
More specifically, this report demonstrates the
nominated innovations, policies and aspirations using a set of
application and usefulness of a framework that
criteria relevant to the aforementioned societal challenge and the
supports the assessment and management of
mobilisation and mutual learning nature of CASI;
sustainable innovations, policies and aspirations
3. critical issue analysis and assessment: analysing
(three tracks of CASI-F). This support is based on a
selected innovations, policies and aspirations so as to
conwed data collection) to intelligence 2.0 (systematic
identify and prioritise critical issues, such as barriers,
data analysis) to intelligence 3.0 (strategic actions and
drivers, opportunities and threats;
advice). These types of intelligence will serve, at the
4. multi-level advice management: generating and
end of the report, to illustrate the sort of benefits that
prioritising multi-level and multi-stakeholder actions to
CASI-F may provide to every kind of SI actor.
manage prioritised critical issues; and
5. action roadmaps management: developing roadmaps for
the most important and urgent actions.

The main purpose of the assessment and management activities in

CASI was to promote adaptation and improve the resilience of the
quadruple helix actors (business, government, civil society,
research/ education) to incremental or radical changes in the socio-
technical systems in which the SI initiatives studied operate.
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Figure 1: CASI-F Overview
3.3. How?
CASI-F was developed as part of a mobilisation and mutual
learning agenda including CASI partners, country correspondents
and a wide range of external stakeholders involved in various
project activities, such as the CASI SI pilots, workshops and mutual
learning events, interviews and questionnaires. More specifically,
the interlinkages of Task 6.2 (Revision and Finalization of the CASI
Framework) with other tasks and work packages include:
WP2 (see Annexe 1 for a list of work package names and
tasks) - The development of CASI-F began and involved state-
of-the-art research and innovation in the domain of SC5,
following a literature review and documentary analysis of
sustainable innovation definitions, frameworks, initiatives and
relevant stakeholders, in order to establish a conceptual
theoretical framework laying the foundations for remaining
CASI-F developments (see Popper at al., 2016), including those
of WP2. These involved:
1. Nominating 500+ sustainable innovation cases from
across Europe and beyond;
2. Mapping the practices, outcomes and players of 200+ cases;
3. First dra" of a working definition of sustainable innovation.
WP3 - Additional reactions regarding CASI-F and related
protocols and tools were gathered during 12 national CASI
Mutual Learning Seminars, the objectives of which were to
raise awareness of sustainable innovations, to share
knowledge, reach a working agreement on the concept of SI as
promoted by CASI and to generate new knowledge through
interaction and discussions among the dierent stakeholder
groups. For the purpose of this report, participants feedback
and suggestions were concluded in Deliverable 3.2 (see Ivanov
et al., 2016) and regarded:
17
1. Validation of the definition of sustainable
innovation produced in Deliverable 2.1;
2. Validation of the benefits of the CASIPEDIA
database produced in WP2;
3. Validation of the main CASI-F features as
dra"ed in Deliverable 4.2.
4. during 12 national CASI Mutual Learning Seminars,
the objectives of which were to raise awareness of
sustainable innovations, to share knowledge, reach a
working agreement on the concept of SI as promoted
by CASI and to generate new knowledge through
interaction and discussions among the dierent
stakeholder groups. For the purpose of this report,
participants feedback and suggestions were
concluded in Deliverable 3.2 (see Ivanov et al.,
2016) and regarded:
WP4 The CASI-F dra& was further discussed and
validated during a series of workshops that involved
CASIs country correspondents, as well as a number of
stakeholders in 12 EU countries, whose feedback (see
Schwarz-Woelzl et al., 2016) was used to inform the final
structure of CASI-F. The 12 workshops were conducted
with the objective of generating feedback on the overall
concept and approach of CASI-F from dierent
stakeholders perspectives. They focused mainly on
gathering feedback and opinions on:
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1. Overall strengths and weaknesses of the CASI-F;
2. Whether the CASI-F tool could support the assessment
and management of SI, moving it forward, and why;
3. Whether CASI-F could support the stakeholders
participating in the workshop in their job with regard to
sustainability and sustainable innovation, and why;
4. Any concerns related to the CASI-F dra";
5. Open questions and comments on the CASI-F dra";
6. Most important lessons related to the CASI Framework
and its first dra".
WP5 CASI-F was thoroughly piloted, involving over 40
innovators in the assessment and prioritisation of critical
issues related to their SI and identified during the mapping
process, as well as in the formulation of actions (see Martin and
Avarello, 2016; Schultze et al., 2016). The pilot was also used
to validate the applicability of the framework to technological
and social types of innovation, considering the specific
characteristics of both. Twelve CASI partnering countries
carried out the CASI-F pilot jointly with the innovators, which
resulted in a total of 43 piloted cases. This supported the:
1. Validation of SI initiative assessment in CASIPEDIA;
2. Revision of critical issues (i.e. barriers, drivers,
opportunities and threats);
3. Definition of potential actions at three levels of management
(i.e. strategic, tactical and operational) and consideration of
four stakeholders perspectives (government, business, civil
society and research and education actors), considering
critical issues and the assessment of SI cases for the definition
of actions supporting the management of SI;
4. Assessment of actions by level of importance, feasibility
and impact (environmental, social and economic);
5. Identification of actions for the development of
elaborated action roadmaps;
6. Meta-actions based on clustering of the actions
identified by the innovators.
WP6 Action roadmaps (see Anttila, 2016), with sub-
tasks planned and structured around 10 key
management aspects, were co-produced with innovators in
order to address previously identified critical issues, thus
supporting better management of sustainable innovations.
These led to the following outcomes:
1. 46 actionable roadmaps;
2. Interviews on the implementation of CASI-F conducted
with innovators in 12 EU countries;
3. Feedback from the innovators summarised in deliverable
6.1, with recommendations for the final version of CASI-F.
Collective feedback on the usability and relevance of
CASI-F for the assessment and management of SI,
validation and possible refinements was extracted from
country reports and relevant project deliverables and
used in the final revision of CASI-F, which is the focus
of this report. The findings and stakeholders feedback
were used and will be made available throughout this
report as an endorsement, and in order to demonstrate
how CASI-F developments have been informed
through wider participation processes. CASI involved
the four types of stakeholders noted above, dealing
with the topics of climate actions, environment,
resource eciency, and raw materials, as well as
participatory methods and sustainability.
When analysing and considering stakeholders
feedback to inform the final version of CASI-F, it was
noted that comments were sometimes contradictory, in
which case the majority of similar opinions on a
particular issue was brought forward. Furthermore,
several recommendations, while beyond the scope of
the CASI project, were recognised as valuable and
pointed towards useful directions for using and further
expanding CASI-F. They will be considered to inform
potential future developments of CASI-F.
The following section presents the final version of
CASI-F by outlining its key principles and supporting
testimonies from the stakeholders involved, in order to
validate both the achievement of the main projects
objective (development of a common framework for
the assessment and management of sustainable
innovation through public engagement of a broad
spectrum of societal stakeholders) and the specific
objectives of the state-of-the-art activities, as listed and
oered in the projects description of work:
a working definition of sustainable innovation,
building on common definitions, the academic
literature and expert advice internal and
external to the project consortium;
ways to include the general publics concerns in
assessing the social impact of these innovations
on society through consultation workshops;
a common understanding of best practices in
sustainable innovation management;
a framework for assessment and management
of sustainable innovations;
specific policy recommendations on how to
improve innovation management and how
sustainability considerations can be incorporated
into it based on the findings of the assessment
framework and public consultations.
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4. CASI-F principles
The significance, as well as vague nature of SI, with
its potential to address the complex societal
challenges the world is facing in the 21st century, calls
for the development of more eective tools and
approaches to facilitate better assessment and
management of SI. For this reason, a carefully
designed and structured process of systematically
conducted activities supported the development of
CASI-F, a holistic framework with the capacity to
consider the multi-dimensional, multi-stakeholder and
innovation system perspectives. Furthermore, CASI-F
builds on hands-on experience and lessons learned
through mobilisation and mutual learning activities,
hence it evolved from within its creation following the
assessment components designed to map SI
initiatives, and from the management components that
focused on the development and prioritisation of
actions and roadmaps supporting the sustainability of
innovations.
19
While CASI-F promotes a structured process supported by five sets
of tools and protocols, it is at the same time flexible and versatile
enough to stimulate reflection and confront users with the self-search
and out-of-the-box thinking required to tackle complex societal
challenges with a multi-systemic approach. Figure 2 illustrates how
the five-step approach of CASI-F was applied to innovations (cases),
policies (briefs) and aspirations (visions).
The CASI-F was especially praised for its holistic approach that
includes multiple functionalities and is well elaborated, detailed, in-
depth going and holistic. Comments refer to the potential
contributions of CASI-F to the planning and structuring of a SI, the
integration of dierent stakeholder groups and the incorporation of
policies, visions and SI cases into one framework.
CASI-F is clearly considered to be very well elaborated, detailed,
in-depth going and holistic (AT, BG, CZ, DE, FI, PL, PT, SI, UK). One of
the positive characteristics of CASI-Fs holistic approach is that it
supports the planning, structuring, preparing and even evaluating
SI (AT, BG, CZ, DE, IT, PT, SI, UK).
Source: Schwarz-Woelzl et al., 2016
The framework encouraged a structured thought process
and the incorporation of the dierent stakeholders and
management levels promoted dimensions, which might not
always have been included in the planning previously.
Source: Martin and Avarello, 2016
MML Box 2: On the holistic nature of CASI-F
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Figure 2: CASI-F Sustainability Cube

Three parallel and complementary

analytical approaches are combined
in CASI-F and were to some extent
piloted during the project (as reflected
in Figure 2 and the visualisations
CASI-F tracks in Annexe 3). First, the
tracking of sustainable innovations
in terms of their practices, outcomes
and players (Track 1). Second, the
tracking of sustainable policies
through the analysis of national and
European level policy developments
on climate action, environment,
resource eciency and raw materials
(Track 2). Third, the tracking of
sustainable aspirations of citizens and experts (3) accountability demands more clarity and responsibility among
engaged in visioning and priority-setting exercises those who formulate and implement EU policies; (4) eectiveness
(Track 3). While a more detailed account of the calls for more eective, timely, objectives-aligned, proportionate
three-track approach is available in the CASI 2nd and impact-evaluated policy initiatives; and (5) coherence requires
Annual Policy Report (Popper and Velasco, 2017), consistent policies and actions that are easily understood by the
for the purpose of this report we will focus in public, despite their use in complex and uncertain problems such
Chapter 5 on the fully piloted first track of CASI-F,
as climate change and resource scarcity.
i.e. the five steps (protocols and tools) applied to
innovations (as highlighted in Tables 1-3 below); Table 1 shows how CASI-F tracks align with basic responsible
however, it is important to briefly mention the wide governance principles.
application of CASI-F and additional benefits of the
combined approach, as described in this chapter. Table 1: CASI-F alignment with responsible governance principles

Inevitably, the three tracks share some overlapping

elements; however, the benefits of introducing the Responsible
CASI-F Track 1 CASI-F CASI-F Track 3
three tracks into the assessment and management Governance
Innovations Track 2 Policies Aspirations
of sustainable innovation lies in the creation of a Principles
complementary yet distinct enough set of protocols
and tools for each of them. Regardless of the Sharing SI
Facilitating
distinct features, the purpose of these protocols and initiatives Sharing citizen
access to CASI
tools in the context of innovations, policies and Openness through the visions through
aspirations remains the same in terms of the CASIPEDIA policy briefs and CASI Visions Bank
assessment (i.e. scanning, mapping, and critical database policy blogs
issues identification and analysis) and management Engaging with
Promoting policy Eliciting desirable
aspects (i.e. multi-level advice and actions stakeholders,
Participation debates through futures from civil
roadmap) pertinent to each track. innovators and
CASI policy blog society actors
experts
Dynamic
4.1. CASI-F principle assessment Disseminating
Assessing expert-
based research
and tracking EU/national
of responsible Accountability priorities
of SI practices, SI policy
alignment with
outcomes and developments
governance players
citizen visions

Generating SI
CASI-F has been developed to support Comparing policy Translating
actions from
government, business, civil society, and research initiatives and citizen visions
Eectiveness systematic
and education actors in promoting responsible supporting policy into research
SI initiatives
research and innovation (RRI) and increasing the advice priorities
analysis
sustainability of their activities. In so doing, CASI-
F underpins basic principles of good governance Aligning policy Identifying
Co-producing
(EC, 2001) where: (1) openness highlights the advice with the economic,
advice at
need for more ecient and transparent emerging social and and
Coherence strategic, tactical
communication of EC activities to the public; (2) policy goals, environmental
and operational
participation assumes that promoting wide e.g. avoiding benefits of
levels
participation in policy development helps to redundancies citizens visions
reinforce confidence in the European institutions;
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4.2. CASI-F principle

of practical advice
orientation
In order to ensure that the tracking of innovations,
policies and aspirations goes beyond academic RACER
purposes to meet the ambition of becoming a common Impact CASI-F Track 1 CASI-F CASI-F Track 3
framework for the assessment and management of Assessment Innovations Track 2 Policies Aspirations
sustainable innovation capable of oering practical Criteria
and eective advice, CASI-F approaches, tools and
protocols have also considered the five RACER Relevant All CASI-F tracks are focused on the
criteria of the ECs Impact Assessment Guidelines (closely linked Horizon 2020 Societal Challenge on
(EC, 2009) by being Relevant, Accepted, Credible, to European 'climate action, environment, resource eciency
Easy and Robust (see Table 2).
sustainability and raw materials'
Starting from rapidly growing and diusing innovations objectives)
to recently formulated and implemented policies at Accepted
national and EU levels to emerging and evolving (by key Especially
aspirations, CASI-F focuses on the assessment of All types of Especially
stakeholders, citizens and
both codified and tacit knowledge concerning the EU stakeholders policy makers
especially experts
Horizon 2020 SC5.
innovators)
While the assessment and management of
Credible
sustainable innovations supports the acceptance of
CASI-F by a growing community of stakeholders (with
Ongoing
(government, business, civil society, and research transparent Current policies Shared visions
innovations
and education actors) involved in the mapping of and trustable
sustainable innovations in the CASI knowledge sources)
platform (CASIPEDIA), the complementary focus Easy
on sustainable policies and aspirations also
(in terms of Desk research
helps to stimulate mutual learning, public Open mapping Citizen panels
data collection Briefing
engagement and the mobilisation of citizens, Desk research Expert panel
and analysis templates
sustainability experts and policy-makers. Interviews Desk research
The use of transparent and reliable sources of at reasonable Editing board
information for the assessment of ongoing cost)
innovations, but also current policies and shared Robust
CASIPEDIA Visions Bank
visions, makes the information resulting from the (replicable and Policy Briefs
Ideas Bank Ideas Bank
use and application of CASI-F even more credible systematic Policy Blogs
Actions Bank Actions Bank
and reliable. CASI-F builds on primary sources process)
(such as interviews, original research papers and
book chapters as well as direct accounts and
Table 2: CASI-F alignment with the RACER criteria of the EC
individual views of innovators, citizens and Impact Assessment Guidelines
experts), secondary sources (including review
CASI-F has also adopted an easy yet well-thought out set of protocols
articles and meta-analysis of the available
and procedures for data collection and analysis. Data on sustainable
literature) and tertiary sources (e.g. databases and
innovations is collected using an open mapping environment, which
compilations of primary and secondary sources in
allows CASI team members and innovators to codify and analyse
both professional editor-based and community-
information resulting from desk research and interviews with key
written encyclopaedias like Wikipedia).
stakeholders having knowledge of a given product, service, social,
organisational, governance, system or marketing innovation. Data on
sustainable policies is generated through a collective and distributed
network of CASI partners and country correspondents via desk research
on a selected theme or topic. The results of this research are fed into
online policy briefing templates, which are reviewed by an editorial team
overseeing the quality of the briefs. Finally, data concerning sustainable
aspirations was gathered through the organisation of two rounds of
citizen panels promoting public engagement and supported by an expert
panel identifying research priorities inspired by citizen visions, and by an
aspirations mismatch and convergence analysis carried out by the CASI
team through desk research.
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the participants frequently highlighted their appreciation of the database

CASIPEDIA with sustainable innovation practices. Not only the concrete
manifestation as a database was acknowledged, but also the general
function of CASI-F as a knowledge hub that oers the possibility to foster a
SI stakeholder network.

It is seen as systematic, structured and understandable approach in generating and

presenting good practices (BG) and could serve as inspiration for innovators (CZ,
DK, PL, PT). CASIPEDIA contains very rich and interesting information for policy
analysis and scientific analysis on SI initiatives (BE). In this regard CASIPEDIA
allows innovators to learn about SIs faced with similar challenges (DE, CZ, UK). It is
a fantastic tool for researchers (identifying example case studies for training
activities, informing lectures, seminars) (UK) and helps to spread ones SI (FI, PL).

Furthermore, CASIPEDIA has great potential for inspiring new ideas and
enabling the transfer of practices from one field to another bridging the gap
between sectorial approaches (AT, BG, DE).

Source: Schwarz-Woelzl et al., 2016

CASIPEDIA was a major point of deliberation in individual countries. Across national seminars,
CASIPEDIA was widely considered to be a rich database of easy-to-compare cases of sustainable
innovation, of cross-border character, oering various insights regarding the management and assessment
of sustainable innovation practices, more generally. A largely appreciated aspect of CASIPEDIA is that it
enables actors to map and share relevant information (practices, outcomes and players) about their
innovation projects. Academic participants, in particular, praised the analytical potential of the database,
finding it especially suitable for dierent research purposes (be they of qualitative or quantitative nature).

Participants noted that CASI has a lot to oer and that the potential synergies with other projects
should be pursued. For instance, CASIPEDIA could serve as a rich source of data for students and
researchers of innovation alike, which could in turn be further enriched with even more actionable
information produced or collected by academics, practitioners and policymakers.
provides visibility to more modest (localised) innovation projects, which tend to be neglected by
governments, policy-makers, industry or civil society.

Source: Ivanov et al., 2016

MML Box 3: On CASIPEDIA

Overall, the set of activities around CASI-F consists of
replicable and systematic processes providing robust
approaches and tools for the assessment and management
of sustainable innovations, policies and aspirations. For
innovations, the CASI-F tools comprise CASIPEDIA (for the
mapping of SI initiatives), the Ideas Bank (for capturing and
assessing critical issues) and the Actions Bank (for exploring
possible ways in which critical issues might be managed at
strategic, tactical and operational levels, and developing
policy roadmaps for prioritised actions).
For policies, CASI-F relies on commonly agreed themes and
topics used by CASI partners and country correspondents to
write policy briefs and blogs where, in replicable ways, policy
recommendations are provided at both national and EU levels.
For aspirations, CASI-F oers the Visions Bank (connected to
the above-mentioned Ideas Bank and Actions Bank) to allow
for a systematic mapping of critical issues (barriers, drivers,
opportunities and threats) associated with sustainable visions,
while promoting a more public assessment and management
of possible actions linked to such issues.
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4.3. CASI-F principle
of multiple sources of
knowledge
CASI-F gathers knowledge and information from a
wide range of sources in order to assist government,
business, civil society, and research and education
actors in the assessment and management of
sustainable innovations. Sustainable innovations
involve multifaceted processes embedded in
numerous sectors and research areas. The diversity of
actors involved in sustainability-oriented processes
requires an inclusive and versatile analytical
framework capable of generating new knowledge a variety of themes and topics linked to the Horizon 2020 SC5. The
by combining evidence, expertise, creativity and
interaction-based approaches (see Popper, 2008).
Sources of CASI-F Track 1 CASI-F Track 2
knowledge Innovations Policies
500+ innovations National and EU
Evidence
from EU+ policies
Innovators and
Expertise CASI team CASI team
Innovators and
Creativity CASI partner
CASI team
Interviewing and CASI editorial task
Interaction coaching forces
Table 3: CASI-F sources of knowledge and strategic
intelligence
The tracking of sustainable innovations (Track
1) supplies evidence from 500+ international
sustainable innovation cases. The overall rationale
of undertaking such a large-scale inductive
approach was to focus on real innovations at
their implementation or diusion stages, as those
involved in these stages would be the primary target
users of CASI-F in the future. The expertise is based
on innovators and CASI team members ability to
analyse the socio-technical system in which the
innovation operates, including landscape, regime
and niche-levels factors.
Some elements of creativity are brought in to
complement the expertise of innovators, especially
when it comes to brainstorming about possible short-
medium-to-long-term actions that government,
business, civil society, and research and education
actors could undertake to increase the sustainability
of a given innovation.
23
Finally, interaction with innovators mainly takes the form of open
and voluntary interviewing and capacity-building processes. These
processes help to promote active multi-stakeholder mobilisation and
mutual learning, since selected innovations included product, service,
social, organisational, governance, system and marketing innovations
led by dierent types of stakeholders.
The tracking of sustainable policies (Track 2) builds on evidence from
current European national and organisational policies relevant to
identification of key themes and topics requires the collective expertise
of the CASI team, which is responsible for coordinating the production of
policy briefs and blogs during the life of the CASI project. Individual CASI
partners then take the lead in researching
and writing policy briefs and blogs of
national and European relevance, which
CASI-F Track 3 demand some degree of creativity when it
Aspirations comes to producing policy recommendations
and forward-looking advice for government,
business, civil society, and research and
Hopes and fears education actors. Given the wide-ranging
of citizens themes and topics addressed in the CASI
Sustainability policy briefs and topics, in this report the
experts tracking of sustainable policies is focused
on resource eciency in the context of the
50 visions from
Europe 2020 strategy.
EU citizens
Citizen-Expert- The tracking of sustainable aspirations
Citizen process (Track 3) gathers evidence on the hopes,
fears and related aspirations of around
200 citizens mobilised through a public
engagement process. This involved the organisation of citizen panels
in 12 EU countries. The creativity element was integrated through the
creation of 50 visions of EU citizens engaged in the creation of desirable
futures, which can be based upon hopes and dreams - but also upon
concerns and fears in relation to potential problems or challenges
that are not desirable. The results of this creative vision-building
exercise were used as inputs in an expertise mobilisation process
where sustainability experts debated the citizens visions clustered by
themes and produced 27 research priorities. These priorities were then
fed back into 12 citizen-expert-citizen processes in order to further
promote public engagement and interaction in the assessment of joint
sustainable aspirations at national level in 12 EU countries (Austria,
Belgium, Bulgaria, Czech Republic, Denmark, Finland, Germany, Italy,
Poland, Portugal, Slovenia and the United Kingdom) and at European
levels.
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it is understandable, logically developed and structurally
sound. The holistic approach it takes can be supportive in
planning, structuring and even evaluating SI cases and make
the user aware of SI impacts on dierent stakeholder groups.
Thus, it has the potential to foster collaboration and
knowledge exchange among the relevant actors. As the
framework is backed up with a vast amount of already
gathered knowledge (CASI intelligence-visions, policy briefs,
initiatives) it improves the users understanding of SI. In this
context the participants especially highlighted the data-
richness accessible through CASIPEDIA.
Educational programmes at universities could follow
the logic of the framework (BG) which in turn could
help systematising the innovative ideas (BG).
CASI-F does not only have the potential to be a
knowledge sharing platform for SI cases (AT, CZ, DK, PL,
PT, UK) but also helps to create a common space of
ideas for all types of actors (BG). It supports networking
with similar projects and enables the exchange of
information and knowledge (AT, CZ). The CASI-F has the
potential to foster collaboration and exchange of
experiences (CZ, DK, UK) as well as add value through
enabling cooperation and generating synergies (AT, CZ).
Source: Schwarz-Woelzl et al., 2016
MML Box 4: On the strengths of CASI-F
Figure 3: CASI-F assisted Socio-technical System Transitions
4.4. CASI-F principle of
multi-level perspectives
and transitions
The volume and complexity of transitions and socio-
technical system transformations at the niche level of
innovations, the regime level of policies and the
landscape level of aspirations to sustainability makes
it dicult to devise a single optimal procedure to
assess and manage sustainable innovations
addressing SC5. The variety of systemic changes and
their dynamic nature calls for a heuristic framework
capable of accelerating the process of identifying
satisfactory responses to critical issues related to this
and other societal challenges. As a result, we have
taken a multi-level perspective (MLP) approach to
develop CASI-F as a set of protocols and tools
supporting the assessment and management of
critical issues influencing dierent types of innovations
(level 1 or niche), current national and supranational
policies (level 2 or regime) and the aspirations of
multiple stakeholders, combining lay and expert
perspectives on sustainability (level 3 or landscape).
The MLP approach is also a heuristic tool for
understanding past, current and possible future
changes in socio-technical systems, based on the
analysis of multi-level transformations in economic,
societal, environmental, infrastructure and government
systems. Through such a systematic analysis of multi-
systemic sustainability (see section 4.5), CASI-F helps
to identify and assess critical issues (e.g. barriers,
drivers, opportunities and threats) that require single-
or multi-stakeholder actions at the strategic, tactical or
operational decision-making levels. This is then
complemented with a multi-criteria assessment and
prioritisation of resulting actions, some of which are
further developed into action roadmaps with the aim of
supporting, on the one hand, the sustainability of
existing innovations, policies and aspirations, and, on
the other hand, the transition towards a better and
more sustainable socio-technical system.
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4.5. CASI-F principle of multi-
systemic sustainability assessment
and management
CASI-F recognises the importance of a multi-systemic
sustainability assessment applied to 202 innovations.
Overall, CASI-F used 44 criteria to assess positive
transformations in societal, economic, environmental,
government and infrastructure systems.
(SOC) Societal systems criteria: Population
development and composition; Income distribution
and class structure; Social security and ageing
provisions; Social interaction and communication;
Social behaviour; Civil liberties and human rights;
Gender, social class and groups equity; Individual
autonomy and self-determination; Education and
qualification; Human health; Individual behaviour.
(ECO) Economic systems criteria: Production;
Consumption; Local trade; International trade;
Labour and employment; Financial system; other
macroeconomics transformations.
(ENV) Environmental systems criteria: Environmental
protection laws and policies; Resource extraction policy
and practice; Protection of renewable resources;
Protection of species and ecological heritage; Protection
of cultural heritage; Rights of future generations.
(GOV) Government systems criteria: Government
administration; Public finances and taxes; New Governance
institutions; Political participation and democracy; Conflict
control and resolution; Population and immigration policy;
Government intelligence; International assistance and aid
policy; Industry and Technology policy.
(INF) Infrastructure systems criteria: Settlements and
cities; Transportation and distribution; Waste
management; Health services; Communication and
media; Energy, water and food supply system; other
goods supply system; Services supply system;
Creation, destruction or modification of research,
technology development and innovation (RTDI)
institutions/organisations; Knowledge-transfer channels;
RTDI wiring up and collaborative connections.
25
Figure 4 shows the results of this assessment, normalised to
the maximum positive transformation score, since the main
purpose of this analysis was to identify those important areas
where sustainable innovations had made significant multi-
systemic positive transformations. In total, 18 criteria showed
very high, high and moderate impact (representing 64% of the
total positive transformations of the 202 SI cases):
Four economic systems criteria (representing 24%
of the top 18 criteria transformations): Consumption
(e.g. re-orientation of consumption towards resource-
ecient products and services that reduce toxic
materials and emissions); Production (e.g.
implementation of eective circular economy practices
and processes that reduce raw material and energy
use, as well as negative environmental impacts); Local
trade (e.g. supporting economically disadvantaged
producers through fair trade policies); and Labour and
employment (e.g. improvement of occupational health
and safety, labour rights and conditions).
Four societal systems criteria (23%): Social
behaviour (e.g. car sharing); Individual behaviour (e.g.
repairing rather than replacing); Social interaction and
communication (e.g. crowd-driven clean-up initiatives);
Education and qualification (e.g. understanding the
carbon footprint of lifestyles).
Five infrastructure systems criteria (20%): Energy,
water and food supply system (e.g. vertical agriculture
initiatives); Waste management (e.g. high-tech circular
use and reduction of waste); Settlements and cities
(e.g. greening the city); Transportation and distribution
(e.g. cycle to work scheme); Knowledge-transfer
channels (e.g. online sustainability tutorials).
Four environmental systems criteria (19%): Rights of
future generations (e.g. investments in sustainable energy
sources); Protection of renewable resources (e.g.
conscious use of hydro and biomass energy plants);
Environmental protection laws and policies (e.g. car-free
city centres); Protection of species and ecological heritage
(e.g. preserving biodiversity and natural environments).
One government systems criterion (14%):
Political participation and democracy (e.g. crowd-
funded sustainability initiatives).
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26 M A N A G E M E N TO FS U S T A I N A B L EI N N O V A T I O N

Metodos integrados: Yuxtaposicin de mtodos bien

delimitados (construir "Rusian dolls") para apoyar la
toma de decisiones. Normalmente incluye un
esquema de ponderacin para agregar sub-
indicadores en uno o un pequeo nmero de
indicadores. Full LCA tolos: Aplicacin de ISO-
conforming LCA y posiblemente otros mtodos de
ciclo de vida.
Simplified LCA tools: Implementacin de LCA
simplificado y posiblemente otros mtodos de ciclo
de vida.
Herramientas integradas: Curiosamente, las
herramientas integradas disponibles no implementan
los mtodos integrados descritos anteriormente, sino
que proporcionan sus propias combinaciones de
mtodos.

Adems, un informe de SAMT sobre 'Futuras

necesidades de investigacin y una entrada para la
normalizacin" (Pihkola et al., 2016b) revisa y discute
los retos de unas 80 normas ISO (International
Organization for Standardization) existentes y en el
desarrollo de proyectos relacionados con la evaluacin
de la sostenibilidad. Entre las principales conclusiones
de este informe son:

LCA simplificado basado en mtodos y herramientas

para el uso regular dentro de las empresas;
Evaluaciones integrales que integren diferentes
Transformacin Transformacin Transformacin Transformacin
Insignificante aspectos de la sostenibilidad para apoyar la toma de
baja moderada alta muy alta
positivo decisiones;
positiva positiva positiva positiva
Mtodos e instrumentos hbridos para las actividades
intersectoriales y evaluaciones sectoriales.
Figura 4: CASI-F evaluacin de la sostenibilidad multi-sistmica Mtodos y herramientas para abordar los impactos
regionales o locales;
La evaluacin de mltiples transformaciones sistmicas Evaluar y comunicar aspectos positivos dentro del
'negativas', tales como el carcter intersectorial de impacto marco de LCA;
ecolgico de la construccin, energa, emisiones, alimentos y la Apoyo a la seleccin de metodos y herramientas en el
huella hdrica, tambin es sumamente importante. Sin
contexto de toma de decisiones;
embargo, CASI-F fue conceptualizado y desarrollado como un
marco complementario en vez de un marco alternativo para el
amplia y ampliamente utilizado conjunto de mtodos y En lnea con estos hallazgos sobre los mtodos,
herramientas de apoyo a la evaluacin de la sostenibilidad. La herramientas y normas, casi-F fue concebido como un
razn principal de CASI-F para adoptar este enfoque es conjunto de protocolos (mtodos) y herramientas
evidente en las conclusiones del proyecto SAMT financiados
interconectadas (interconectadas las aplicaciones
por la CE sobre "Sostenibilidad y mtodos de evaluacin de las
herramientas de apoyo a la toma de decisiones en las basadas en web) para apoyar la evaluacin y gestin de
industrias de proceso'. SAMT realiz una resea sistemtica de innovaciones sostenibles. En otras palabras, CASI-F no
los actuales enfoques de evaluacin de la sostenibilidad y las pretende competir con o sustituir las mencionadas
mejores prcticas en muchos sectores e industrias, lo que
ayud a identificar ms de 100 mtodos y herramientas. De evaluaciones de sostenibilidad, sino para apoyar multi-
estos, 51 mtodos y 38 herramientas fueron estudiados y nivel y multi-actores en la toma de decisiones
agrupados en los siguientes seis grupos (Saurat et al., 2015; relacionada con innovaciones orientadas a la
Lpez et al., 2015; Pihkola et al., 2016):
sostenibilidad, polticas y aspiraciones. Por lo tanto, en
Mtodos de ciclo de vida: Evaluacin de ciclo de vida trminos prcticos, casi-F se compone de cinco
(LCA en ingls), derivados o subconjuntos de LCA, y conjuntos de protocolos y herramientas interconectados:
mtodos de ciclo de vida ms all de la evaluacin Para el anlisis de la pertinencia y la
ambiental. sostenibilidad;
Por anlisis y evaluacin multicriterio;
Mtodos hbridos: Fusin de los mtodos existentes (el Para el anlisis y evaluacin de problemas
lmite entre los mtodos se vuelve borrosa) para ampliar crticos.
el mbito de aplicacin de cada mtodo. Para la gestin de asesoramiento a varios
niveles;
Para la gestin de las hojas de ruta de accin.
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5. Metodologa
CASI-F
5.1. Paso 1: CASI-F protocolos y
herramientas para la relevancia
sostenibilidad y escaneo.

Desde 2014, 19 socios del proyecto CASI y 16 corresponsales nacionales en todos los pases que
abarca la UE28, se han empeado en un riguroso y sistemtico proceso de anlisis ambiental para
identificar innovaciones sostenibles destinadas a lograr transformaciones ambientales, sociales y
econmicas en Europa y en el mundo. Ms de 500 soluciones fueron analizados y propuestos entre junio
y diciembre de 2014. Las soluciones incluyen los siguientes siete tipos de innovaciones (ver glosario):

Product innovation, nuevos o mejores

productos, o tecnologa;
Service innovation, nueva y mejor solucin a un
problema social;
Social innovation, nueva y mejor solucin a un
problema social;
Organisational innovation, Nueva o mejorada
prctica, configuracin o modelo de negocio;
Governance innovation, Nueva/mejora de la
regulacin, la poltica o la forma de participacin de las
partes interesadas;
System innovation, el nuevo y mejorado conjunto
interconectado de innovaciones y cambios socio-
tcnico;
Marketing innovation, Nueva/mejora de la promocin o
colocacin de cualquier tipo de innovacin.
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Adems, todos los nombramientos tuvieron que ser

relevadas a una o ms de las 22 reas prioritarias del
horizonte 2020 SC5 (vase la Tabla 4).

Las proyecciones y escenarios de cambio climtico

Soluciones de adaptacin al cambio climtico
Las soluciones de mitigacin del cambio climtico
Las TIC para evaluar y predecir el clima acciones
En accin por el En accin por el clima por el estilo de vida sostenible
clima Accin Climtica polticas ECO-INNOVATION

Examen y comprensin de biodiversidad

Mapeo de los recursos naturales de las TIC y tendencias
Soluciones para el patrimonio cultural "Es alentador ver al innovador
Medio Inteligencia estratgica y participacin ciudadana querer ser parte del proyecto
Ambiente piloto y que eli considere que
Soluciones a desequilibrios de agua es importante desarrollar este
Mejorar la eficiencia de los recursos de los sistemas de tipo de herramienta. Por lo que
TIC nos muestra que hay una
Uso eficiente de los recursos de estilos de vida
sostenibles
demanda de una herramienta
Eficiencia de los para la evaluacin y gestin de
Eco-innovacin y la transicin a la economa verde
recursos
la innovacin sostenible".

A largo plazo la disponibilidad de materias primas Fuente: Martin and Avarello, 2016
Soluciones para la exploracin, extraccin, MMLBox5: Sobre
procesamiento y reciclaje sostenibilidad, pertinencia y
Las materias primas alternativas
La conciencia de la escasez de materias primas digitalizacin
Sistemas de TIC para asignar las materias primas
tendencias
Materias Eco-soluciones para reducir el uso de materias primas
primas Las materias primas-consciente del estilo de vida
sostenible
Las polticas eficaces de materias primas

Tabla 4: CASI-F uso de las prioridades de la EC en la accin climtica, el

medio ambiente, la eficiencia de los recursos y las materias primas

Otra ventaja es la contribucin general a una mejor comprensin de la

IS, que contribuir a la "mejor formulacin y aplicacin de polticas y
medidas ' en el campo de la SI, tanto a nivel nacional y regional, as
como de una mejor ejecucin de los proyectos de la UE en este campo
(BG, CZ, FI, IT). Ms all de que casi-F es visto como una iniciativa que
contribuye a la "debate, organizacin y difusin de los conceptos de la SI
(PT). En este sentido CASI-F tambin es considerado como un marco
que aportan a la UE el horizonte 2020 metas de sostenibilidad (CZ)
El "pragmtico" (CZ) y "normalizado" (TI) enfoque es til tanto en la
conceptualizacin y la gestin de un SI (FI). CASI-F contribuye al
desarrollo de un 'macro-marco para la gestin sostenible de las
innovaciones" (BG). Adems, la CASI-F simplifica la recopilacin de los
datos necesarios para evaluar si la propia pertinencia hacia la innovacin
sostenible y admite la identificacin de acciones estratgicas (IT), as
como el pensamiento estratgico y planificacin (CZ, PT). Mientras se
permite que el pensamiento estratgico, la casi-F tambin fomenta el
intercambio de ideas y la generacin de nuevas ideas (BG, DE, IT). Con
su enfoque integral "casi-F es suficientemente compleja para sealar los
puntos fuertes y dbiles de cualquier is' (CZ, PL) y por lo tanto contribuye
al benchmarking SIs (CZ, IT). CASI-F permite evaluar el impacto de la is
a nivel econmico, social y sostenible para las diferentes partes
interesadas (PT). El enfoque de la base de la casi-F "sobre casos reales
de innovacin sostenible" (FI) es visto como un buen punto de partida y
tiene el potencial de llegar a 'complejas evaluaciones de resultados
posibles' de la IS (CZ)".
"La integracin de polticas, visiones e iniciativas de
innovacin sostenible' (CZ) en casi-F es apreciado
como un valor aadido (CZ, Reino Unido), porque
ayuda a aumentar la comprensin de las
dimensiones clave, aspectos y factores crticos de la
IS (CZ) y los "papeles de los siete tipos de
innovaciones hacia los objetivos de desarrollo
sostenible de la UE" (CZ). Las visiones son vistos
como una influencia importante involucrar a los
ciudadanos, para elevar la conciencia de las
innovaciones sostenibles, para adquirir
conocimientos acerca de la tendencia o de
tendencias (CZ, PL) y conseguir "out-of-the-box
pensamiento' en el proceso de innovacin (Reino
Unido). Al proporcionar un espacio para compartir
visiones entre los distintos grupos de interesados
casi-F tambin podra ayudar a promover el buy-in o
toma de acciones (UK) y aadir servicios de apoyo
para un producto (FI, CZ). Adems, todo el concepto
identifica una "brecha en nuevos mercados
potenciales" o business (UK) y pueden resultar muy
tiles para las start-ups"
Source: Schwarz-Woelzl et al., 2016
MML Box 5: Sobre sostenibilidad,
pertinencia y digitalizacin
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Adems, para promover una mayor movilizacin sistemtica y

enfoque de aprendizaje mutuo para la innovacin sostenible,
CASI asociados y corresponsales en los pases fueron alentados
a identificar soluciones con mayor relevancia sectorial. Alrededor
de 15 a 22 candidatos se solicit a cada pas de la UE28 equipos
que fueron invitados a cubrir como muchas de las 21 actividades
econmicas como sea posible de la Clasificacin Industrial
Internacional Uniforme de Todas las Actividades Econmicas
(CIIU) (ver Tabla 5 abajo).

Un panel de expertos en sostenibilidad dentro del consorcio casi

revis y evalu todas las candidaturas en trminos de su
pertinencia a SC5.

Para centrar ms la seleccin de soluciones a las necesidades de

las polticas europeas y nacionales en el mbito de la
participacin pblica y la sostenibilidad, una segunda evaluacin
realizada de forma independiente por tres miembros del equipo
requiere casi un 1 a 5 la calificacin en escala de nominado
innovaciones contra los siguientes cinco criterios: (1) grado de
participacin pblica y movilizacin; (2) grado de sostenibilidad y
los vnculos intersectoriales; (3) Grado de multi-dimensional
transformaciones; (4) grado de implementacin y difusin; (5)
grado de novedad y originalidad. Los resultados de esta
evaluacin de mltiples criterios se han utilizado para crear un
sistema de puntuacin para el nominado soluciones. Para lograr
una amplia cobertura de la UE, las seis innovaciones de mayor
puntuacin de cada pas de EU28 fueron escogidos (168
soluciones), junto con 34 otras innovaciones de alta puntuacin,
incluidos algunos casos internacionales. En general, un total de
202 innovaciones fueron seleccionados y actualizado a un "Deep
Dive" proceso de evaluacin, tambin conocida como mapeo
completo de prcticas sustentables de innovacin, resultados y
jugadores.

Agricultura, silvicultura y pesca

La minera y la cantera
Fabricacin
Electricidad, gas, vapor y aire acondicionado
suministro
Abastecimiento de agua, alcantarillado,
gestin de residuos y las actividades de
remediacin
Construccin
Comercio al por mayor y al por menor;
reparacin de vehculos de motor y
motocicletas
Transporte y almacenamiento
Las actividades del servicio de alojamiento y comida
La informacin y la comunicacin
Las actividades financieras y de seguros
Actividades inmobiliarias
Actividades profesionales, cientficas y tcnicas
Las actividades administrativas y servicios auxiliares
Administracin pblica y defensa; seguridad
social obligatoria
Educacin
Actividades de trabajo social y salud humana
Arte, entretenimiento y recreacin
Otras actividades de servicio
Actividades de los hogares como empleadores

Tabla 5: CASI-F uso de estndares internacionales industriales

Clasificacin de Actividades Econmicas
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Tool Box 1: Herramienta CASI-F para el anlisis de la pertinencia
y la sostenibilidad
Esta tool box muestra una captura de pantalla de la primera casi-F
til apoyar la pertinencia y sostenibilidad de las iniciativas de
digitalizacin de la IS. La herramienta est disponible para casi
todas las marcas de los miembros de la comunidad y se puede
acceder a travs del men de navegacin principal del portal, casi
haciendo clic en el caso 'map' en la pgina principal de
CASIPEDIA o dirigindose a la siguiente direccin URL:
http://www.casi2020.eu/casipedia/map-a-case/
Un total de 15 criterios son utilizados durante el primer paso de la casi-F
Metodologa: (1) Nombre de la IS; (2) Si la descripcin; (3) Si la direccin
URL; (4) la organizacin rectora; (5) la organizacin rectora URL; (6) Si la
alcance; (7) Enlace a H2020 de prioridades; (8) Si un tipo; (9) si los
objetivos; (10) si los factores de xito; (11) Si barreras; (12) si los
controladores; (13) Si las oportunidades; (14) si las amenazas; y
sostenibilidad sistmica (15) (vase la seccin 4.5). La evaluacin de las
iniciativas en contra de estos criterios puede ser realizado individualmente
por el innovador (autoevaluacin), una formacin mapper (CAIS miembro
de equipo o pas corresponsal) o colectivamente por un grupo de expertos
o miembros de la comunidad casi invita a evaluar si una determinada
iniciativa.
5.2. Paso 2: CASI-F
protocolos y
herramientas para
el anlisis de
criterios mltiples
y la evaluacin
La asignacin del seleccionado si se
centr en 3 'deep dive' evaluaciones
utilizando un total de 34 criterios (Tabla 6):
SI Practices assessment: Esto incluye
21 criterios ofrecer una panormica actual
de la innovacin, incluyendo tanto la
informacin descriptiva y una evaluacin
detallada de objetivos clave, los orgenes,
los factores de xito, los obstculos, los
controladores, las tensiones, la
financiacin y el potencial del mercado, el
grado de movilizacin, procesos de
aprendizaje mutuo, geogrficos y
sectoriales de transferibilidad y la
utilizacin de mtodos de evaluacin.
SI Outcomes assessment: Esto incluye
nueve criterios que exploran tanto los actuales
y posibles resultados futuros de la innovacin. Los
dos primeros criterios se centran en el grado y el
estado de la innovacin de los resultados, seguida
de una evaluacin estructurada de las fortalezas y
debilidades con nueve sub-criterios (Novedad;
Complejidad; proteccin de los derechos de
propiedad intelectual (DPI); Calendario; y el diseo
de plataforma robusta; reescribiendo las reglas;
Reconfiguracin de la produccin, distribucin y
consumo; aplicabilidad sectorial y geogrfica;
replicabilidad). Esto es seguido por una evaluacin
prospectiva de siete tipos de oportunidades y
amenazas (tecnolgicos, econmicos, ambientales,
polticos, sociales, ticos y espacial). Resultados
adicionales tales como nuevas polticas, spin-offs,
publicaciones, aptitudes y competencias tambin
estn correlacionados. Por ltimo, el criterio de
sostenibilidad sistmica comprende 44 sub-criterios
evaluar las contribuciones positivas a cinco sub-
sistemas del sistema socio-tcnico ms amplio
(vase la seccin 4.5 y en la figura 4 anterior).
SI Players assessment: Esto incluye la asignacin
de funcin, tipo y detalles de contacto de
innovadores, financiadores y patrocinadores,
colaboradores y corredores de seguros, as como
los beneficiarios y usuarios.
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SI Criterios de evaluacin de las SI Criterios de evaluacin de SI Criterios de evaluacin de

Prcticas resultados jugadores

1. Grado y enfoque
2. Etapa de la innovacin
1. SI Nombre 3. Fortalezas y debilidades 1. Innovadores
2. SI Descripcin Rol
4. Oportunidades y Tipo
3. SI URL Amenazas
4. SI Lder 5. Polticas Detalles de contacto
5. SI URL del lder 6. Spin-os
6. SI Alcance 7. Publicaciones 2. Financiadores/patrocinadores
7. SI Cronograma 8. Habilidades y Rol
8. SI Prioridades competencias Tipo
9. SI Tipo 9. Sostenibilidad Detalles de contacto
10. SI Objetivos sistemtica
11. SI Origen 3. Apoyadores/Corredores
12. SI Factor de xito Sistemas Societales
Rol
13. SI Barreras - 11 indicadores
Tipo
14. SI Controladores
Sistemas Econmicos Detalles de contacto
15. SI Tensiones
- 7 indicadores
16. SI Financiacin/potencial de
mercado 4. Beneficiarios/Usuarios
17. SI Diploma de Movilizacin Sistemas Ambientales Rol
- 6 indicadores Tipo
18. SI Los procesos del
aprendizaje mutuo Detalles de contacto
19. SI Transferibilidad Sistemas de Infraestructura
- 11 indicadores
20. SI Miradas en otro lugar
21. SI Mtodos de evaluacin
Sistemas de Gobierno
- 9 indicadores

Tabla 6: Criterios CASI-F para la evaluacin

completa de las innovaciones sostenibles
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Esta caja de herramientas

muestra una captura de pantalla
de la segunda herramienta CASI-
F que apoya el anlisis
multicriterio y la evaluacin de las
iniciativas de SI. La herramienta
est disponible para todos los
miembros registrados de la
comunidad CASI y se puede
acceder a travs del men de
navegacin principal del portal
CASI, haciendo clic en el botn
"map a case" en la pgina
principal de CASIPEDIA o
visitando la siguiente URL: http:
//www.casi2020.eu/ casipedia /
map-a-case /

Ms de 30 criterios se utilizan durante la

segunda etapa de la metodologa CASI-
F, que requiere el mapeo de (1)
Prcticas SI; (2) Resultados del SI; y (3)
jugadores del SI. El mapeo de iniciativas
contra estas puede ser realizado
individualmente por el innovador
(autoevaluacin), un mapeador
entrenado (miembro del equipo de CASI
o corresponsal del pas) o
colectivamente por un grupo de expertos
o miembros de la comunidad de CASI
invitados a evaluar una iniciativa dada
de SI.
Caja de herramientas 2: Herramienta CASI-F para el anlisis y la
evaluacin multicriterios

5.3. Paso 3: La riqueza de informacin sobre innovacin sostenible en CASIPEDIA

Protocolos y
herramientas CASI-F
para el anlisis y
evaluacin de
problemas crticos
El nombramiento de 548 casos contra los
primeros 12 criterios de evaluacin de las
Prcticas SI (vase el cuadro 6 supra) y la
cartografa de 202 casos contra todos los 34
criterios de Prcticas, Resultados y Jugadores
de SI generaron una base de datos nica y rica
sobre el estado del arte del desarrollo sostenible
innovacin en Europa y el mundo, tambin
conocida como CASIPEDIA y disponible en lnea
en http://www.casi2020.eu/casipedia/.
est lejos de ser analizada completamente, pero para el propsito de
desarrollar y pilotar CASI-F, se eligi una evaluacin "especfica" de los
datos CASIPEDIA. De este modo, se hizo especial hincapi en el anlisis
de las "cuestiones crticas" seleccionadas, es decir, las principales
barreras, impulsores, oportunidades y amenazas que requieren una mayor
evaluacin y atencin para las decisiones de gestin. Alrededor de 1566
cuestiones crticas se asignaron a casos seleccionados y designados,
con la participacin y la participacin activa de las partes interesadas
pertinentes (especialmente los innovadores, pero tambin los
patrocinadores, patrocinadores y beneficiarios y usuarios a los que se les
dio acceso e invit a contribuir a la evaluacin de innovaciones
sostenibles en CASIPEDIA). Dada la importancia estratgica y el carcter
confidencial de las "cuestiones crticas" relacionadas con una innovacin
especfica, el equipo de cartografa, as como los innovadores, tambin se
les permiti restringir el acceso a cuestiones delicadas. ser explorado en
lnea en el CASI Ideas Bank en http://www.casi2020.eu/ ideas-bank /.
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Desde el punto de vista tecnolgico, el

anlisis de 182 cuestiones dio lugar a 11
lecciones, a saber: analizar la posible
dependencia de tecnologas especficas;
desarrollar estrategias de IPR; elaborar
planes de desarrollo tecnolgico; identificar y
asumir costos de proteccin e imitacin;
hacer un plan para la comunicacin digital y
social; garantizar un uso fcil de la
innovacin; crear planes de mantenimiento y
contingencia; reforzar las capacidades y
capacidades tcnicas para la anticipacin
tecnolgica; garantizar un nivel adecuado de
novedad en innovaciones tanto radicales
como incrementales; desarrollar
infraestructuras de apoyo; y cumplir con los
estndares tecnolgicos mientras alcanza el
nivel adecuado de complejidad.
Figura 5: Evaluacin CASI-F de asuntos crticos del CASI Ideas Bank
Desde el punto de vista econmico, el anlisis
Estos temas fueron analizados siguiendo tres lgicas de 453 cuestiones dio lugar a 12 lecciones, a
complementarias con el objetivo de responder a las siguientes saber: elaborar planes de expansin del
mercado; crear estrategias empresariales
preguntas de investigacin:
realistas; ampliacin de la capacidad de diseo y
Qu lecciones se pueden extraer del anlisis de cuestiones planes de ajuste de la produccin; Diferenciacin
crticas utilizando siete dimensiones o perspectivas analticas, a entre la produccin en masa y las estrategias de
diferenciacin; definir objetivos de beneficios
saber, tecnolgicas, econmicas, ambientales, polticas,
econmicos, cuando sea aplicable; definir
sociales, ticas y espaciales? objetivos de reduccin de costos, cuando sea
Qu tipo de acciones se necesitan para hacer frente a los aplicable; elaborar una estrategia de desarrollo
local; evaluar las posibilidades y las
efectos positivos y negativos que unos amplios conjuntos de
consecuencias del empleo por cuenta propia;
cuestiones crticas tienen sobre las innovaciones sostenibles?
hacer una estimacin clara de las inversiones
Qu tipo de marco de gestin de acciones puede ser creado iniciales; evaluar la disponibilidad de recursos
sobre la base de un meta-anlisis de las cuestiones crticas futuros; asegurar la estabilidad de los fondos
desde una perspectiva de sistema de innovacin? durante el proceso de SI; y aumentar o mantener
los niveles adecuados en R&I.
Lecciones del anlisis de temas crticos usando una perspectiva
multidimensional
Desde el punto de vista ambiental, el anlisis
de 223 cuestiones dio lugar a seis lecciones, a
saber: comprender el potencial y las
consecuencias de las estrategias de adaptacin
y mitigacin del cambio climtico; identificar los
elementos ambientales en los que la SI podra
Anlisis de
cuestiones crticas tener un mejor impacto; desarrollar instrumentos
ambientales de medicin del impacto ex ante;
evaluar el potencial del SI para resolver
problemas energticos; definir y comunicar cmo
Perspectiva Perspectiva del
la SI contribuye a promover estilos de vida
Multidimensional Sistema de Innovacin
sostenibles; y evaluar posibles efectos
Perspectiva de las Multiples colaterales ecolgicos.
partes interesadas
Desde el punto de vista poltico, el anlisis
de 232 cuestiones dio lugar a ocho lecciones,
Figura 6: Lgica CASI-F de perspectiva mltiple en el anlisis de a saber: comprender los procesos
asuntos crticos burocrticos; reconocer y adaptarse a los
objetivos polticos del gobierno; analizar las
oportunidades de la agenda poltica; aprender
la regulacin aplicable; vigilar los cambios
actuales y potenciales en la regulacin; lograr
un apoyo poltico sostenible; obtener acceso
oportuno a expertos y asesores de polticas; y
evaluar las reacciones de los grupos de
presin y de los competidores..
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34 M A N A G E M E N TO FS U S T A I N A B L EI N N O V A T I O N

Desde el punto de vista tico, el anlisis de 32

temas dio lugar a cinco lecciones, a saber: hacer
una evaluacin ex ante de las consecuencias
ticas de la SI; evitar que la SI provoque la
exclusin de grupos de usuarios especficos;
desarrollar un plan de comunicacin basado en
objetivos de sostenibilidad organizacional
inequvocos; identificar e integrar a todos los
miembros de la comunidad afectados; y comunicar
cmo la innovacin est alineada con los valores
sociales.
Desde un punto de vista espacial, el anlisis
de 64 cuestiones dio lugar a cuatro lecciones, a
saber: establecer objetivos demogrficos
realistas, si procede; alinear la innovacin con
las tradiciones rurales y locales; considerar la
preservacin del patrimonio en la concepcin
de la innovacin; y distinguir entre los
resultados de la experimentacin local de SI y
su aplicacin a otros entornos.
En total, 60 lecciones o "consideraciones
crticas" surgieron del metanlisis de 1.566
cuestiones crticas relacionadas con 202 IS,
donde tanto la variedad como el volumen de las
lecciones requeran perspectivas analticas
adicionales.
"Lo que funcion bien fue que a travs de la
inclusin de diversos actores en la matriz se forz
a pensar en diferentes perspectivas y cmo estas
pueden hacer una innovacin".
"La perspectiva de las mltiples partes interesadas
es muy, muy relevante; ni siquiera todas las
perspectivas tienen la misma importancia (por
ejemplo, en este caso, la sociedad civil es de
menor relevancia). Pero es importante pensar en
el caso / iniciativa de las cuatro reas de inters.
En este caso la perspectiva mltiple se integr
desde el inicio del proyecto, pero sin la perspectiva
de la sociedad civil. La matriz ayud a integrar
esta perspectiva tambin. "
"Los profesores pueden confiar en un procedimiento bien
estructurado para analizar las iniciativas de SI, que no
necesita ser fuertemente modificado para ser utilizado en el
contexto de un curso de Maestra.
Ya se dispone de un amplio material de apoyo para que los
estudiantes comprendan mejor el procedimiento general del
CASI-F (los estudiantes pueden trabajar autnomamente
en la mayora de los pasos). El prximo curso de
capacitacin en lnea de CASI reforzar an ms este
aspecto.
Al ponerse en contacto e interactuar con los
innovadores (empleadores potenciales), los estudiantes
no slo amplan su red dentro del mercado de trabajo,
sino que tambin promueven el curso de Gestin y
emprendimiento social, que puede ser de inters para
star-ups, pymes y similares.
En general, tengo un sentimiento positivo sobre el uso
potencial de CASI-F en cursos universitarios.
Particularmente en lo que se refiere al rea de
sostenibilidad e innovacin (todava poco investigado y
de naturaleza ambigua), es muy til permitir que los
estudiantes profundicen el tema trabajando en el campo
(interactuando directamente con los innovadores) ".
Fuente: MML Entrevista con Mattia Martini -
Investigador de la Universidad de Milano-Bicocca
(Anexo 5)
MML Recuadro 6: Perspectivas de las mltiples
partes interesadas

Fuente: Martin y Avarello, 2016

"Los usuarios pueden fcilmente tener en cuenta"

intereses y objetivos diferentes "(DE) de las diversas
partes interesadas, lo que a su vez permite considerar
la SI como un todo (PT). A travs de la perspectiva de
las mltiples partes interesadas, es posible tener en
cuenta las implicaciones e interdependencias (CZ)
de una SI. "

Fuente: Schwarz-Woelzl et al., 2016

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M A N A G E M E N TO FS U S T A I N A B L EI N N O V A T I O N 35

Caja de herramientas 3: Herramienta CASI-F para el anlisis y la evaluacin de problemas crticos

Esta caja de herramientas

muestra una captura de pantalla
de la tercera herramienta de
CASI-F que apoya el anlisis y
evaluacin de problemas crticos
para las iniciativas de SI. La
herramienta est disponible para
todos los miembros registrados
de la comunidad CASI y se
puede acceder a ellos a travs
del men de navegacin
principal del portal CASI,
haciendo clic en el botn
agregar una idea en la pgina
principal del CASI Ideas Bank o
visitando la siguiente URL:
http://www.casi2020.eu/edit-
idea/

Unos 28 tipos de problemas crticos pueden ser

5.4. Paso 4: Protocolos y analizados y evaluados durante la tercera etapa de la

metodologa CASI-F, que requiere la identificacin de (1)

herramientas CASI-F para la conductores; (2) barreras; (3) oportunidades; y (4)

amenazas. El mapeo de estos temas crticos puede ser

gestin de asesoramiento realizado individualmente por el innovador

(autoevaluacin), un mapeador capacitado (miembro del

de varios niveles equipo de CASI o corresponsal del pas) o colectivamente

por un grupo de expertos o miembros de la comunidad de
Adems de la perspectiva multidimensional, se analizaron los CASI invitados a contribuir a una iniciativa dada de SI.
mismos 1566 temas crticos, basados en su influencia en las Las siguientes siete categoras de cuestiones crticas se
innovaciones seleccionadas, utilizando una perspectiva de consideran en el CASI-F: tecnolgico, econmico,
mltiples partes interesadas. Esto nos ayud a llegar a una ambiental, poltico, social, tico y espacial.
importante conclusin de gestin: Los problemas crticos requieren
un enfoque de asesoramiento de mltiples niveles y mltiples
actores.

La leccin principal del anlisis de los efectos positivos y

negativos que las cuestiones crticas identificadas tenan
sobre las innovaciones trazadas era que las acciones para
gestionar un conjunto tan amplio de barreras, impulsores,
oportunidades y amenazas podran ser implementadas por
mltiples actores con diferentes funciones y
responsabilidades directivas.
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36 M A N A G E M E N TO FS U S T A I N A B L EI N N O V A T I O N

Multilevel y Multi-actor Actores Actores Investigacin &

(ML-MA) Acciones Acercamiento Gubernamenta Empresaria Actores de la
Actores de la
les les sociedad civil
educacin

Las acciones estratgicas implican la definicin de metas, desafos, metas, objetivos y

Gestion de alto nivel: prioridades de alto nivel que requieren la atencin u orientacin estratgica de los
Acciones Estratgicas responsables de decisiones de alto nivel en organizaciones gubernamentales,
empresariales, de la sociedad civil, de investigacin y de educacin.

Las acciones tcticas requieren que los tomadores de decisiones de nivel medio
Gestin de medio nivel: traduzcan los objetivos y prioridades de nivel estratgico en intervenciones tcticas,
Acciones Tcticas como programas de inversin, investigacin o transferencia de conocimiento, as como
mecanismos de desarrollo e implementacin.

Las acciones operativas exigen la intervencin de los responsables de la toma de

decisiones de primera lnea, los responsables polticos, los funcionarios, los empresarios,
Gestin de primera lnea: los ciudadanos, los investigadores y la fuerza de trabajo, directamente responsables de la
Acciones Operativas operatividad de las actividades cotidianas vinculadas a las acciones tcticas estratgicas.

Tabla 7: CASI-F enfoque multinivel y asesoramiento de interesados

Por ejemplo, la Red de Bancos Alimentarios de la Fondazione Banco

Alimentare Onlus, una organizacin de la sociedad civil en Italia,
identific el marco regulatorio y normativo existente como un tema
crtico para la implementacin efectiva y una amplia difusin de la
innovacin de su modelo de negocio centrada en la recuperacin diaria
de los excedentes de alimentos de la cadena de suministro de
alimentos y su redistribucin a organizaciones benficas que ayudan a
alrededor de dos millones de personas privadas en el pas. Sin
embargo, la gestin de una cuestin o barrera tan crtica requiere que
los actores gubernamentales, a nivel estratgico,: formulen o
implementen nuevas polticas nacionales sobre donaciones de
alimentos excedentes encaminadas a alentar econmicamente al
sector privado; y, a nivel operativo, organizar y gestionar las mesas de
dilogo con los operadores, incluidos los responsables de la
formulacin de polticas, las empresas y las organizaciones de la
sociedad civil sin nimo de lucro, encaminadas a redisear el sistema
de reglamentacin para reconocer las necesidades de varias partes
interesadas.
Del mismo modo, los 202 casos de IS estudiados en el CASI nos
ayudaron a identificar una amplia gama de cuestiones crticas,
incluyendo no slo las barreras, sino tambin los conductores, las
oportunidades y las amenazas, proporcionando buenos ejemplos del
tipo de situaciones gerenciales en las que las respuestas y soluciones
sonoras requieren niveles mltiples estratgico, tctico y operacional) y
las intervenciones de mltiples partes interesadas.
"... un fuerte nfasis en la planificacin de acciones es una fuerza
notable de la matriz CASI-F (BE, CC, CZ, DE, UK, IT, PT). Esto no
slo contribuye a mejorar el proceso de planificacin e
implementacin de la prctica SI, sino que tambin representa una
simplificacin del contexto del proyecto y contribuye a una
cartografa exhaustiva de las acciones potenciales de los diferentes
actores y la elaboracin de un plan de accin detallado, REINO
UNIDO). Los tres niveles de accin (estratgicos, tcticos / de
programacin, de primera lnea y operacionales) fueron
considerados por algunos como una lnea de tiempo, lo que podra
ayudar a una mejor planificacin de las acciones especficas en
etapas especficas de desarrollo del proyecto. Esto les permite
anticipar los posibles impactos de las acciones en diferentes
actores (CZ, FI, SI, PT). Esto hace que la matriz sea
adicionalmente valiosa (DE, PT). Adems, las acciones permiten
una orientacin bsica y definen las medidas necesarias que estn
alineadas con los objetivos y metas de una organizacin (PT). Otro
lado positivo de la orientacin de la accin es el proceso de
evaluacin, que ofrece un proceso de reflexin sobre la pertinencia
y factibilidad de las iniciativas y su sostenibilidad (PT).
Fuente: Schwarz-Woelzl et al., 2016
"La matriz permite al usuario obtener el" panorama
general "(FI) de SI, permitiendo la incorporacin
de las diferentes perspectivas de las partes
interesadas de una manera estructurada,
sistemtica y transparente (BG, CC, PT, SI UK).
Las partes interesadas reconocen la matriz para
realizar una "buena visin general" (SI) sobre SI;
por este medio, la matriz permite estructurar y
gestionar la SI, teniendo en cuenta la informacin
contextual necesaria. La matriz se considera como
un marco "logicamente desarrollado y
estructuralmente sano" (BG), que tiene en cuenta
"aspectos y aspectos esenciales" (FI) de SI.
Adems, este enfoque invita a los innovadores a
reflexionar sobre la aplicabilidad de las
innovaciones en otras reas y para otras partes
interesadas (BG, CC) y permite obtener una visin
rpida y estructurada sobre las implicaciones
importantes para la gestin de SI (PT, UK).
"La matriz es fcilmente comprensible (BG, CC,
CZ, DE, FI, IT, SI, PL, UK) y su estructura
permite" simplificar y sintetizar fenmenos
complejos "IT) a travs de la reduccin mediante
un enfoque paso a paso, ESO). Adems, la
matriz se reconoce como clara y legible (BG, CC,
PL). Diversas partes interesadas de una misma
SI pueden entender fcilmente su papel en el
mbito ms amplio de una SI y su impacto social
(CZ). A continuacin, el esquema matricial se
consider un "enfoque estructurado, sistemtico
y transparente" (SI) en algunos de los talleres de
las partes interesadas (CC, BG, FI, SI). Se dijo
que la matriz apoya la simplificacin de procesos
complejos a travs de un esquema fcil de
rellenar (CC, IT, SI).
Fuente: Schwarz-Woelzl et al., 2016
MML Box 7: En el asesoramiento multi-nivel
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M A N A G E M E N TO FS U S T A I N A B L EI N N O V A T I O N
"... un innovador percibi las acciones en los niveles tctico y
operacional muy tiles para los actores de la sociedad civil. Para el
otro nivel y las partes interesadas, el valor agregado se consider
menos, pero no intil, ya que ayud a entender diferentes
perspectivas. La matriz se consider til para estructurar
pensamientos e incluir diferentes perspectivas, y para comprender
mejor las consecuencias de las acciones.
Fuente: Martin y Avarello, 2016
Caja de Herramientas 4: CASI-F herramienta de gestin de
asesoramiento multinivel
Esta caja de herramientas muestra una captura de pantalla de la cuarta
herramienta de CASI-F que apoya la gestin de asesoramiento de varios
niveles para iniciativas de IS. La herramienta est disponible para todos
los miembros registrados de la comunidad CASI y se puede acceder a
ellos a travs del men de navegacin principal del portal de CASI en la
pgina principal del CASI Actions Bank o visitando la siguiente URL: http:
//www.casi2020. eu / actions-bank / Aunque la mayora de las acciones
en el Banco de Acciones se extraen automticamente de los resultados
de CASIPEDIA, los usuarios tambin pueden acceder a un formulario de
entrada separado y aadir acciones haciendo clic en el botn "agregar
accin" sin asignar un caso.
The management of advice is structured around the three
most common management levels of advice, namely:
estratgico (gestin de alto nivel); tctico (gestin de nivel
management) and operational (front-line management).
37
Adems, durante la cuarta etapa de la metodologa
CASI-F, las acciones estn dirigidas a los siguientes
cuatro actores que representan la hlice cudruple
de la innovacin sostenible (1) gobierno, (2)
negocios, (3) sociedad civil y (4) investigacin y
educacin. El mapeo de estas acciones puede ser
realizado individualmente por el innovador
(autoevaluacin), un mapeador capacitado (miembro
del equipo de CASI o corresponsal del pas) o
colectivamente por un grupo de expertos o miembros
de la comunidad de CASI invitados a contribuir a una
iniciativa dada de SI. En el CASI-F se consideran los
siguientes 10 aspectos de la gestin de la SI:
movilizacin, recursos, previsin, impulso, aptitud,
actitud, catlisis, fosterers, transformaciones multi-
agente y sostenibilidad (sistmica).
El cuarto paso de la metodologa CASI-F es apoyado
por el Banco de Acciones y funcionalidades
relacionadas integradas en el Banco de Ideas,
permitiendo que las acciones sean nominadas y
evaluadas individualmente por el innovador
(autoevaluacin), un mapeador entrenado pas
corresponsal) o colectivamente por un grupo de
expertos invitados a un caso determinado. Las
acciones nominadas se evalan utilizando los
siguientes cinco criterios de calificacin: (1)
importancia para manejar un determinado tema
crtico;(2) viabilidad de implementacin; (3) impacto
econmico; (4) impacto social, y (5) impacto
ambiental.En adicin, la herramienta permite restringir
la visibilidad pblica de las acciones individuales.
5.5. Paso 5: CASI-F
protocolos y
herramientas para la
gestin de las hojas
de ruta de accin
La complejidad del enfoque multi-nivel y multi-
stakeholder nos condujo a otra conclusin
gerencial importante: Las cuestiones crticas
requieren un marco sistmico de gestin del SI.
Utilizando la perspectiva de los sistemas de
innovacin, un metanlisis de los 1566 asuntos
crticos ayud a identificar 10 aspectos clave de la
gestin de SI asociados con 50 factores crticos o
meta-temas para el contexto, las personas, el
proceso y el impacto de las dimensiones de
gestin del SI. (vase la Tabla 8, Glosario y
Popper et al., 2016).
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38 M A N A G E M E N TO FS U S T A I N A B L EI N N O V A T I O N

El exito de una innovacion

sostenible depende en gran medida
del contexto y 17 factores crticos
fueron asignados contra sus cuatro
aspecto: Momento, reflejando
el espacio potencial para la innovacin,
Las expectativa de los empresarios
Y otros actores, el impulso poltico
desde reguladores o adquisiciones,
ejemplaresde otras tecnologas
o empresas sociales, y la
percepcin de problemas que exigen
soluciones ,Prospectiva ,mostrando la
capacidad de anticipacin, estrategia
Y superar las lagunas en la curva de la inno-
vacin; Recursos, haciendo hincapi
en la necesidad de combinaciones saludables
de finanzas locacin, marketing,
etc.; y movilizacin, incluyendo
la capacidad de accin, como en
public a participacin, comunidad
y soporte institucional, publica-
privada participacin, investigacin y
el compromiso
educacional.

El papel de la gente especialmente

gobierno, negocio, sociedad civil,
y los actores de investigacin y educacin
no se puede subestimar.
Muchos objetivos siguen sin cumplirse
cuando las innovaciones no conectan o
movilizar a las personas adecuadas, o no
proporcionar los incentivos o habilidades adecuados
para personas claves. Unos ocho factores crticos se agruparon alrededor de
dos aspectos clave en la dimensin de las personas: Aptitud, refirindose
habilidades o competencias reales de las personas involucradas en el diseo,
desarrollo, implementacin y difusin de una estrategia
innovacin; y Actitud, es decir, el tipo de comportamiento de
la misma gente.
La innovacin es ampliamente considerada como un proceso
multifactico. Como se mencion anteriormente, el anlisis de
las cuestiones planteadas confirmaron la necesidad de contar con
una accin orientada al enfoque de apoyo a la gestin del
proceso de innovacion. Dada las multiples posibilidades de agrupacin
unos 14 factores crticos relacionados con el proceso, estos han sido
agrupados en dos conjuntos ms amplios de aspectos clave:
los catalizadores, la puesta en marcha, el desarrollo y la puesta en prctica de;
Fosterers, incluyendo factores que consolidan y difunden la innovacin.
Por ltimo, 11 factores crticos se vincularon a la
dimensin del impacto y se agruparon en dos aspectos
clave correspondientes: (multi-agente) Transformacin, lo
que significa cambios positivos en la cudruple hlice de
la SI y la produccin de conocimiento (vase tambin
Carayannis y Campbell, 2009; y Sustentabilidad
(sistmica), refirindose a los cambios en el sistema
socio-tcnico donde opera la SI que conducen a
transformaciones ambientales, sociales, econmicas,
gubernamentales e infraestructuras positivas sin
comprometer las necesidades y el bienestar de las
generaciones futuras.
En el Cuadro 8 se resumen las cuatro dimensiones
de la gestin del SI, los 10 aspectos clave de la
gestin del SI y los 50 factores crticos del IS que
los innovadores deben considerar en la gestin
sistmica de las acciones del SI.(Ver glosario)

Puede el enfoque cualitativo de 5 pasos mejorar la evaluacin y la gestin de SI al complementar las herramientas
y mtodos cuantitativos existentes (por ejemplo, Evaluacin del Ciclo de Vida y subconjuntos derivados)? Si es as,
cmo? "Seguro! Para m, es un buen ejemplo de la aplicacin prctica de un enfoque de gobernanza multinivel, muy
bien estructurado y aplicado de maneras claras y coherentes, que ofrece una perspectiva mucho ms amplia que la
Evaluacin del Ciclo de Vida y similares, lo que ayuda a involucrar mejor a las partes interesadas. "

Fuente: MML Entrevista con Edgaras Leichteris - Corresponsal del CASI para Lituania (Anexo 5)
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39

Mobilisation refers to the

Tabla 8: CASI- F enfoque de las dimensio nes de la gestin de SI y aspectos claves
La prospectiva se Movilizacin se refiere a la
Momentum se refiere Los recursos se refieren al
refiere a el futuro capacidad de alcanzar y
a la fuerza que significado que se puede
estratgico de una involucrar a las principales
obtiene una mostra una innovacin
innovacin partes interesadas.
innovacin sostenible sostenible para ser Hay 6 factores crticos
sostenible.
avanzando Existen 3 diseado, desarrollado vinculados a este aspecto
Hay 3 puntos crticos
factores crticos Implementado, utilizado y clave SI: campeones y
factores vinculados a
vinculados diundido. facilitadores (para
este SI aspecto involucrar a las partes
a este SI aspecto Hay 5 factores crticos
clave: horizonte
CONTEXTO clave: poltico
basado en vinculados a este aspecto interesadas), compromiso
(incluyendo de la sociedad civil
dimensin escaneado clave SI: entorno (para promover la
reglamentos, geogrfico (tanto democracia); compromiso
enfoque (proactivo
decisiones, ambientales como del gobierno (para
cartografa de las
reglas, polticas, condiciones garantizar la gobernanza y
cuestiones, p.
directrices,etc); demogrficas); la regulacin); investigacin
barreras y compromiso educativo
ejemplares financiacin (interna y
conductores, promover la evidencia
(incluyendo externo); infraestructura
oportunidades toma de decisiones), de
pionera o lder (fsica y virtual); datos
y amenazas); negocios compromiso (para
modelos, estndares, (incluyendo dura y por lo promover Asociaciones
tendencias-
prototipos, ejemplos, tanto ", p. estadsticas y Pblico-Privadas
enfoque basado en
etc) y problemas conocimientos) y para abordar los problemas
(reaccionando a la
(incluyendo desafos, escalabilidad (potencial de del mercado)
corriente y participacin proactiva
complicaciones y crecimiento).
desarrollos); y (para atender las
las dificultades como
objetivos necesidades de
motores
estratgicos la hlice cudruple SI
cambio). jugadores).
enfoque (alineacin
objetivos de las CTI
del sistema).
Aptitud se refiere al conjunto de habilidades reales La actitud se refiere al tipo de comportamiento de las
o las competencias de las personas involucradas personas responsable del diseo, desarrollo,
GENTE
en el diseo, desarrollo, implementacin y difusin implementacin y la disfusin de una innovacin
dimensin de una innovacin sostenible. Hay 4 factores sostenible. Hay 4 factores crticos ligados a este aspecto
crticos vinculados a este SI Aspecto clave: clave de SI: el entusiasmo (para difundir el inters y la
liderazgo (para guiar la innovacin del emocin); empata responder a las necesidades de los
equipo); carisma (para inspirar y movilizar los potenciales usuarios de beneficiarios); participacin (para
gente); creatividad (para llegar a la innovacin y la promover la cooperacin y creacin de redes); y el
soluciones); y conocimiento (para hacer sonido y compromiso (para lograr la propiedad y co-crear el xito).
decisiones informadas).

Los catalizadores se refieren a factores crticos
que las fases de diseo y desarrollo de una
proceso de innovacin. Hay 7 factores crticos
vinculada a este aspecto clave de la SI: la
compresibilidad (para soluciones fciles de usar);
crowdsourcing (para lograr apoyo financiero
realmente ascendente); aprendizaje-por- hacer
PROCESO (para promover una evolucin ms asertiva y
innovacin incremental); servicios de apoyo
dimensin los cuellos de botella especficos de la innovacin
proceso); capacidad de absorcin (generar y
actuar informacin valiosa o inteligencia); ex-
ante la evaluacin del impacto (reconocer y medir
importantes beneficios y posibles riesgos); y
pilotaje
experimentacin (para evitar decepciones y
gestionar las expectativas).
Los promotores se refieren a factores crticos
implementacin y las fases de diversificacin de un
proceso de innovacin. Hay 7 factores crticos
vinculados a este SI aspecto clave: incentivos (para
posicionar an ms la innovacin); coordinacin (para
gestionar la relacin entre el equipo de innovacin,
patrocinadores, simpatizantes y beneficiarios); redes y
sinergias (para capitalizar mejor los factores crticos
relacionados con el impulso); gestin del conocimiento
(para reforzar la capacidad de innovacin del equipo);
gestin de la propiedad intelectual (para mejorar la
ventaja competitiva de la innovacin); evaluacin de
impacto ex post (para promover mejoras a travs del
aprendizaje y demostrar los impactos ambientales,
sociales y econmicos positivos de una innovacin); y
la comunicacin y difusin (aumentar la
transferibilidad sectorial y geogrfica).

Multi-agente) La transformacin se refiere a (Sistmica) Sostenibilidad se refiere a los cambios en el

cambios en la hlice cudruple de SI y conocimient
produccin. Hay 6 factores crticos
este aspecto clave de SI: actores y comunidad
desarrollo (para consolidar nuevos / existentes
Y promover el spin-off y la creacin de redes);
basado en productos y servicios(para incrementar
IMPACTO el rendimiento acadmico); valores y estilo de vida
(para promover el conocimiento y los medios
dimensin
cultural y de comportamiento); desafo multiple
(para una mejor gestin de la complejidad de
los sistemas sociotcnicos que cambian
dinmicamente, ); capacidades y destrezas (para
apoyar el desarrollo de la mano de obra, los
trabajos); y el espritu empresarial (innovar y crear
nuevas oportunidades).
sistema socio-tcnico en el que opera el SI que conducen a
econmicos, sociales de infraestructura, de medio ambiente
y transformaciones gubernamentales. Hay 5 puntos crticos
relacionados con este aspecto clave de SI (ver seccin 4.5)
sostenibilidad del sistema social (para mejorar la cohesin/
interaccin, sentido comunitario,educacin); sostenibilidad
del sistema ambiental (para mejorar el consumo,produccin,
el comercio); sostebinilidad del sistema ambiental
(para proteger cultural /ecologica, especies, recursos,
leyes y polticas de proteccin ambiental , etc.);
sostenibilidad del sitema gubernamental (para mejorar la
participacin y democracia, etc.); y la sostenibilidad
del sistema de infraestructura (para mejorar el sistema
de energa, agua y alimentos, gestin de residuos, asentamiento
y ciudades, transporte, distribucin y transferencia de
conocimientos.
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Las lecciones del anlisis de las innovaciones

sostenibles se utilizaron para desarrollar una
metodologa de investigacin-accin para pilotar el
CASI-F con innovaciones sostenibles en la vida real. El
proceso de pilotaje sigui un enfoque crtico de la
cuestin, que exiga que los innovadores dieran
prioridad a aquellas cuestiones crticas (barreras,
impulsores, oportunidades y amenazas) que se
consideraban importantes y necesitaban medidas
urgentes. Se seleccionaron los temas crticos ms
importantes y, con la ayuda de los socios de CASI, un Figura 7: Enfoque CASI-F para la caracterizacin de
total de 43 innovadores involucrados en un proceso de dimensiones de gestin de stakeholders y mltiples SI
"generacin de acciones de aprendizaje mutuo, multi-
nivel y multi-stakeholder" impulsado por la creatividad,
la evidencia, la experiencia y la interaccin. En el
momento de redactar esta seccin, unas 707 de estas Los resultados tambin muestran las claras diferencias entre el
acciones han sido completamente cartografiadas y gobierno y los actores de la investigacin y la educacin en la
codificadas en el CASI Actions Bank, en gestin de temas crticos en cada una de estas dimensiones.
http://www.casi2020.eu/ actions-bank /. Si bien se espera que las acciones gubernamentales se
centren ms en la dimensin de contexto, seguidas por las
En el Cuadro 9 se muestran los resultados generales de dimensiones de personas, procesos e impacto, las acciones de
la aplicacin del enfoque CASI multi-nivel y multi- los actores de investigacin y educacin abordan primero las
stakeholder orientado a 43 innovaciones sostenibles.
Ms detalles sobre la implementacin real del marco cuestiones de la dimensin impacto, seguidas del proceso, las
desarrollado por los autores se pueden encontrar en personas y el contexto.
Hlsgens et al. (2017). En total, se generaron 190
acciones para actores gubernamentales, 186 acciones Estos hallazgos resultan ms evidentes e interesantes en
para actores empresariales, 175 acciones para actores cuanto a la aplicacin del marco de gestin de la accin
de la sociedad civil y 156 acciones para actores de sistmica en el nivel de los "aspectos clave" (Figura 8). Aqu
investigacin y educacin. En general, las acciones se podemos ver claramente el papel significativo de la
distribuyeron uniformemente entre los actores y los tres
niveles de gestin del SI, es decir, estratgicos, tcticos movilizacin clave, seguido por los fosterers y como los tres
y operacionales (vase tambin el cuadro 7). mbitos de intervencin ms importantes, tanto los aspectos
clave de prospectiva como de sostenibilidad parecen ser
abordados por todos los actores, aunque las acciones
Tabla 9: CASI-F enfoque multi-nivel y multi- empresariales en la accin clave de prospectiva son mucho
stakeholder acciones de mapeo de 43 ms prominentes que las de otros actores, Sin embargo, estos
resultados tambin pueden revelar la necesidad general
innovaciones
707
Multi-nivel & Actores de Actores Actores de Investigacin y
Empresariales Actores de
Multi-stakeholder Gobierno la sociedad civil educacin
(186 acciones)
Acciones (190 acciones) (175 acciones) (156 acciones)

Top-level
management: 37% 41% 31% 33%
Strategic actions

Mid-level
management: 35% 33% 34% 29%
Tactical actions
Front-line
management: 28% 26% 35% 38%
Operational actions

La aplicacin subsiguiente de la dimensin sistmica de

la gestin del SI (vase el glosario) muestra que el 52%
de las acciones abordaron la dimensin del contexto, el
13% la dimensin de las personas, el 25% la dimensin
del proceso y el 10% la dimensin del impacto. Los
resultados confirman la importancia del contexto y las
dimensiones del proceso en el manejo de los temas
crticos que influyen en las innovaciones sostenibles. Un
hallazgo interesante es el papel limitado de la
dimensin del impacto, probablemente como resultado
del carcter de implementacin a largo plazo de tales
acciones.
y la mentalidad orientada a la sostenibilidad cuando se buscan
soluciones a problemas crticos e innovaciones fecundas. La
Figura 8 presenta la distribucin de cada tipo de interesado por
aspecto clave. Por lo tanto, es posible reconocer que se
espera que los actores gubernamentales aborden los factores
crticos relacionados con los aspectos clave del momento, la
movilizacin y los recursos. Los actores empresariales
desempean un papel importante en el aspecto clave de la
movilizacin, as como en las acciones que se ocupan de
cuestiones relacionadas con los recursos y los hogares de
acogida.
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From the CASI team perspective,

the amount of strategic intelligence
generated while mapping, analysing
and managing selected innovations
and related critical issues has a
huge potential to further advance
knowledge and support evidence-
based policy-making in the area of
sustainable innovation.

Applying supplementary systematic

and content-oriented meta-analysis
(i.e. a structured and systematic study
of a large amount of data with the aim
of identifying patterns and clusters) of
the actions and sub-tasks linked to the
piloted innovations could further
support the refinement of CASI-F
and the development of recommendations on the type of
mechanisms, schemes and programmes that regional,
Figure 8: CASI-F approach to SI management key national and European policy-makers should put in place to:
aspect mapping (1) better promote strategic sustainability agendas; and
From the innovators perspective, the final step in the (2) promote more eective functioning of existing policy
management of identified actions required their assessment instruments.
in terms of importance for the innovator, feasibility of
Similarly, the meta-analysis of other SI Practices, Outcomes
implementation and the degree of economic, social and
and Players assessment criteria would probably lead to more
environmental impacts. Several interviews and interactions
and equally interesting lessons. For example, a meta-analysis
with the innovators were organised in order to jointly prioritise
of innovators short-medium-to-long-term objectives and
those actions that required more in-depth managerial advice.
aspirations was conducted. This helped to identify some 76
This involved the creation of 46 action roadmaps using the
priority areas for product, service, social, organisational,
systemic action management framework to develop more
governance, system and marketing innovations, which were
specific sub-actions or tasks for priority actions. A total of 564
tasks was generated and allocated short-medium-to-long- later clustered into 10 research and innovation policy agendas.
term implementation time scales, thus providing innovators
with more practical advice on immediate and future steps for
the management of critical issues aecting the context,
people, process and impacts dimensions of their innovations.
Figure 9 shows how the 564 tasks identified related to the
context, people, process and impact dimensions, as well as
their implementation time scale.

Figure 9: CASI-F approach to SI management

dimension by implementation time frame

From the CASI team perspective, the amount of strategic

intelligence generated while mapping, analysing and managing
selected innovations and related critical issues has a huge
potential to further advance knowledge and support evidence-
based policy-making in the area of sustainable innovation.
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42 M A N A G E M E N TO FS U S T A I N A B L EI N N O V A T I O N
Most of the feedback was positive, stating that action
roadmaps are an interesting and useful tool. According to a
large number of the innovators, the framework provides a
dierent way of thinking about innovation project activities and
to conduct an overall plan for the needed steps in innovation
management. Quite a few of the innovators saw the roadmap
being an ecient methodology to be used in workshops,
especially when analysing more complex projects. The
identification of a timeframe for each task was complimented
as a good addition to the roadmap.
The most positive responses indicated, that the activity
made them consider questions that they never had
considered before, and that the innovator could fully
recommend the Action Road Map for others.
80% of the respondents thought that the overall process was
satisfactory (57%) or highly satisfactory (23%). The innovators
think the roadmap is a good way to ensure that you take all critical
elements into account when planning future steps for innovation
project. The words that were repeated in the questionnaire
answers were structured, new and interesting. Ultimately, the concepts required to be explained in order for them to
86% of the respondents considered that the Action Roadmap can
help them in managing their sustainable innovation. Most of the
innovators are planning to use their action roadmap tasks in the
future. Furthermore, 77% of the innovators said they would
consider following the recommendations.
An overall perception was that the process of creating a
roadmap was beneficial as it helped them in analysing
their innovation management from a structured, new
perspective. Almost all innovators (86%) considered that
the Action Roadmap can help them in managing their
sustainable innovation, whereas only a small minority
(14%) felt that it does not provide added value.
77% of the innovators said they would consider
following the recommendations, 6% would not and 17%
were not sure. Ultimately, the findings suggest that even
though the action roadmap is found usable by a vast
majority of innovators, there are also innovators who find it
less so, mainly due to external factors.
the roadmap is important for real-time management, as it
supports new thinking especially because the situation/context of
the initial sustainable innovation has changed with time.
Furthermore, the structured approach of the action
roadmap process was found to facilitate fresh thinking
on a familiar topic. There were several specific contexts
identified that could be particularly useful for the
roadmap methodology, e.g. schools, consultants and
when starting new projects. One of the innovators
thought that even though the presentation of the tasks in
the matrix was not found very valuable, the tasks
themselves are concrete and useful.
In their feedback, the innovators mentioned that the activity
was very interesting and that the process helped them in
identifying and validating the elements and steps needed. It
was suggested that the process might be particularly useful
for group processes, design work and for improving the
innovation impact. One respondent pointed out that they
would be interested in creating more roadmaps for their
other projects, too. In general, the innovators found the
template to have clear arrangement and structure, but that
complete the roadmap. In terms of how the benefits of the
roadmap were understood by the innovators, the findings
reveal some confusion about the ultimate advantage of
completing an action roadmap. Many of the respondents
recognised the structuring of the tasks to be the main
benefit, as well as the conversation that comes as a side
product of the activity. It was also pointed out that
customisation to language, culture and stakeholder group
would increase the benefits. One of the innovators wanted
to emphasise the importance of adding Aptitude and
Attitude to the concepts, as they are o"en neglected in the
discussion.
Source: Anttila, 2016
MML Box 9: On action roadmaps
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This Tool Box shows a

screenshot of the fi"h CASI-F
tool supporting the action
roadmaps management for
SI initiatives. The tool is only
available for case (co)owners
upon completion of the Step
4 of CASI-F (see Section 5.4
and Tool Box 4).
The fi"h step of CASI-F
methodology allows prioritised
actions to be managed
individually by the innovator
(self-assessment), a trained
mapper (CASI team member or
country correspondent) or
Tool Box 5: CASI-F tool for action roadmaps
collectively by a group of
management
experts invited to a given SI
case.
The management of actions is facilitated by
a package or set of sub-actions covering the
four SI management dimensions (context,
people, process, impact) and the 10 SI
management key aspects (momentum,
foresight, resources, mobilisation, aptitude,
attitude, catalysts, fosterers, transformations
and sustainability). Each sub-action is
allocated a timeframe for implementation
with the following options: short-term (up to
12 months), medium-term (between 12 to
24 months) and long-term (more 24
months).
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6. CASI-F in action

CASI-F has been successfully applied to support the sustainability assessment and management of 43 innovations of the seven
dierent types: Social innovations (12 cases), Service innovations (11 cases), Organisational innovations (seven cases), Product
innovations (five cases), Governance innovations (four cases), Marketing innovations (two cases) and System innovations (two
cases). In terms of geographical scope, around 50% of the innovations were national, 30% local and 20% international. The most
common sectors addressed by the innovations were education, energy, water, agriculture, ICT and health/social services.

A dedicated SI Pilots web space (http://www.casi2020.eu/casipedia/si-pilots/) has been created to feature these
43 SI cases in the CASI Portal (see Figure 10); however, the growing interest that dierent stakeholders have in
future applications of CASI-F (see Section 7 and Annexe 5) means that additional cases will be implementing the full
CASI-F methodology before and potentially a"er the end of the CASI project. The application of CASI-F to assist
sustainability assessment and management of these innovations helped to produce 46 action roadmaps:

The successful application of CASI-F

proves that the framework is versatile
enough to assist such wide-ranging types
of SI. Furthermore, the CASI-F five-step
approach can lead to comprehensive
12 roadmaps for social innovations; assessment of critical issues in Steps 1-3
11 roadmaps for service innovations; and targeted management of prioritised
8 roadmaps for organisational innovations; critical issues in steps 4 and
6 roadmaps for product innovations; 5. The following sections feature seven
4 roadmaps for governance innovations; examples of the application of the CASI-F
2 roadmaps for system innovations; five-step approach to each of the above-
4 roadmaps for marketing innovations. mentioned seven types of sustainable
innovations considered in the CASI project.
Each example provides basic relevance
assessment criteria (a full account of which
can be found in the CASI portal

http://www.casi2020.eu/casipedia/,
with examples of critical issues and action
addressing one of the issues prioritised by
the innovator as most important and feasible
followed by an action roadmap fleshing out
the implementation of the selected action.
In addition to the seven examples, there are
39 more roadmaps, which clearly
demonstrate how CASI-F can be used as a
practical MML tool to support multi-level
(strategic, tactical and operational) transition
management towards a more sustainability-
oriented socio-technical system.
To promote the sustainability and deployment of CASI-F, the detailed steps of the
framework, with practical examples and links to relevant tools within the CASI
platform, will be accessible through a publicly available online training course
developed around eight modules and 16 units, to be launched in April 2017. The
CASI online training course will draw on the knowledge and results gained
through various mutual learning activities and oering users a comprehensive
overview of CASI-Fs background, building blocks and application. Module 1 of
the course will be dedicated to CASI-F in Action, reflecting on the practical
aspects of the assessment and management elements of CASI-F.
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Figure 10: CASI-F SI Pilots section in the CASI Portal

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46 M A N A G E M E N TO FS U S T A I N A B L EI N N O V A T I O N

6.1. CASI-F assisting

sustainability transitions
of product innovations
This section provides an overview of the results of CASI-F applied to support the sustainability assessment and
management of a product innovation. Below we outline the basic results from steps 1-3 of CASI-F.

WAI
CASIPEDIA source: http://www.casi2020.eu/casipedia/cases/1089

SI Description
This product innovation aims to introduce to the international market a new technology for transforming agricultural,
urban, industrial, and forestry waste into a new ecow-material with outstanding mechanical and calorific
characteristics. Its mechanical properties make the material very attractive as a substitute for wood and other
natural resources, and its calorific features give the material great potential to be used as an eco-fuel.

SI Lead organisation
EnergiMidt Forsyning og Service A/S - Business actor

SI Objectives
Develop a technology for transforming waste into an eco-material with remarkable calorific, mechanical and
ecological characteristics
Commercialise this technology to the waste treatment sector, both nationally and internationally
Establish strategic alliances to commercialize the eco-material, through waste treatment entities, to electric
power plants and high-energy-consumption industries (use of the material as an eco-fuel)
Establish strategic alliances to commercialise the eco-material in the construction and derived sectors and to
consumer-goods manufacturers (material used as a substitute for natural sources, e.g. wood)

Critical Issues
Commercial agreements (political driver): The potential markets (consumers) of the eco-material (i.e. markets to be
directly addressed by the waste treatment entities, and eventually by WAI through strategic agreements) are:
a) electric power plants introducing renewable and low-carbon alternatives in their systems and to increase their
energy-production eciency (apart from the high calorific properties, the homogeneity and malleability of the WAI eco
fuel adds another important advantage in terms of electric production eciency); b) industries requiring large amounts
of energy in their production processes, such as paper-mills and the cement industry; c) consumer-goods
manufacturers, construction firms and derived sectors aiming to substitute natural and non-renewable materials.

Environmental concerns and EU awareness (environmental driver): WAIs technology contributes to solving
four European problems: (1) recovering urban and industrial wastes contributes to relieving the environmental
pressure and ecosystem instabilities caused by the residues accumulated in landfill sites; (2) the use of the
eco-material contributes to preserving natural resources (e.g. wood, coal) and reducing the use of plastics and
non-recyclable materials; (3) the use of the material as a fuel constitutes a climate change mitigation action by
the replacement of contaminant fossil fuels and reduction of CO2 emissions; (4) the renewable material will
contribute to making the transition to a reliable, aordable, publicly accepted, competitive and sustainable
European energy system, with less dependence on international imports.

Limited capacity for international expansion (social barrier): The company should reinforce the
international network and the necessary skills for internationalisation.

SI Assessment Box 1: CASI-F for product innovation assessment: WAI (SP)

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Some eight critical issues were identified together with the innovator and the following SI Critical Issue Limited capacity for
international expansion (social barrier) was prioritised and considered for step 4 of CASI-F. Seven SI Management Actions were
identified and the innovator prioritised the following action: Increase sta innovation management skills and capabilities (strategic
action). Finally, step 5 of CASI-F required the co-creation of an action roadmap for the prioritised action.

SI Management Box 1: CASI-F for product innovation management: WAI (SP)

SI
Management Increase sta innovation management skills and capabilities
Action
Action Type Top level management (strategic action) - Initiate (carry out tasks never done in the past)

Relevant
Business actor (Innovator)
actor
MOBILISATION
Establish new contacts
MOMENTUM
with local/ regional
Identify and analyse
FORESIGHT business schools, and
database of
Identify emerging RESOURCES researchers dealing
existing innovation
management skills and Apply to local/national with management
CONTEXT management capacities in the sector, funds for management skills and capabilities
dimension programmes in
through journals, skills development development (become
international business
sub-actions schools and attend conferences a case study in schools)
Timeframe: and incorporate
education fairs
Timeframe: Medium-term action research in the
Short-term company
Timeframe:
Medium-term
Timeframe:
Medium-term
APTITUDE
ATTITUDE
Create an internal repository to facilitate
PEOPLE knowledge transfer within the company, Foster sta creativity with participatory
dimension workshops, e.g. generate future actions through
dierentiating management skills from technical
highly-transformed scenarios
sub-actions education
Timeframe: Long-term
Timeframe: Short-term
CATALYSTS FOSTERERS
PROCESS Involve key stakeholders in piloting and Establish incentive procedures to reward sta
dimension experimenting with the firms innovation phases professional development
sub-actions
Timeframe: Short-term Timeframe: Medium-term
SUSTAINABILITY
TRANSFORMATIONS
IMPACT Analyse sta potential and training objectives in Develop sta education plans for the employers
family so as to bring together professional and
dimension relation to local jobs and competences
personal development
sub-actions
Timeframe: Short-term
Timeframe: Long-term
 C A S I - F :C O M M O NF R A M E W O R KF O RT H EA S S E S S M E N TA N D
48 M A N A G E M E N TO FS U S T A I N A B L EI N N O V A T I O N

6.2. CASI-F assisting

sustainability transitions
of service innovations
This section provides an overview of the results of CASI-F applied to support the sustainability assessment and
management of a service innovation. Below we outline the basic results from steps 1-3 of CASI-F.

RUSZ Reparatur
CASIPEDIA source: http://www.casi2020.eu/casipedia/cases/751

SI Description
RUSZ is a social enterprise that initiated changes in EU policies. Its primary objectives are resource eciency and social
inclusion. RUSZ provides repair services for household appliances, consumer electronics and ICT. It sells certified, high-quality
used equipment as well as new washing machines that were diagnosed in the in-house R&D department as particularly durable
and easily repairable. From 1998 to 2007, RUSZ was commissioned by the Viennese labour market authority, AMS. RUSZ was
successfully transformed into a non-profit private enterprise in 2008 and now operates on a cost-recovery basis and employs
more than 20 (mostly former long-term unemployed) people. RUSZ has been leading many initiatives, to replicate its model and
also to overcome the barriers it is facing and change policies, both in Austria and Europe. RUSZ was among the initiators of the
Austrian umbrella organization RepaNet and its EU equivalent RREUSE.l.

SI Lead organisation
RUSZ Verein zur Frderung der Sozialwirtscha" (Austria)

SI Objectives
Achieve an economic advantage of reliable repair services and the creation of green jobs
Contribute to waste prevention: By repairing old machines RUSZ makes an essential contribution to electronic
scrap prevention. By repairing more than five million kilograms of electrical appliances in the last 18 years,
RUSZ has contributed to resource conservation, climate protection and waste avoidance
Fight against the metastases of the economic system, such as planned obsolescence: RUSZ deplores the fact
that many electrical and electronic devices are designed to be replaced within five years. It works on the
development of a white list of long-lasting and repair-friendly new drives
Provide education for unemployed people: RUSZ not only oers jobs, it also provides the chance of technical training
Oer a broad array of second life-devices with warranty
Oer quality high-standard yet low-cost repair services
Provide customers with reliable information about possible alternatives

Critical Issues
Planned obsolescence (technological threat): High-level planned obsolescence means ever more
goods are designed in a way which makes them increasingly dicult to repair and ever more
manufacturers do not stock up on spare parts.

Re-integration of long-term unemployed into society (social driver): RUSZ has a high success rate
of re-integrating long-term unemployed people back into society. It trains them to be service technicians
and even helps them with financial and social issues, e.g. by supporting citizens in finding new housing.

Austrian tax system (political barrier): Repairing is labour-intensive work, thus repair costs are high.
Repairing goods can be considered to be taxed twice: high employment taxes plus VAT. This is definitely
a barrier for creating new jobs. Socio-environmental tax reform should be put in place.

SI Assessment Box 2: CASI-F for service innovation assessment: RUSZ Reparatur (AT)
 C A S I - F :C O M M O NF R A M E W O R KF O RT H EA S S E S S M E N TA N D
M A N A G E M E N TO FS U S T A I N A B L EI N N O V A T I O N 49

Some 10 critical issues were identified together with the innovator and the following SI Critical Issue Planned obsolescence
(technological threat) was prioritised and considered for step 4 of CASI-F. Thirty-eight SI Management Actions were
identified and the innovator prioritised the following action: Support the EC by implementing the circular economy (CE)
(strategic action). Finally, step 5 of CASI-F required the co-creation of an action roadmap for the prioritised action.

SI Management Box 2: CASI-F for service innovation management: R.U.S.Z Reparatur (AT)

SI
Management Support the EC by implementing the circular economy (CE)
Action
Action Type Top level management (strategic action) Reinforce (enhanced existing actions)

Relevant
Business actor (Innovator)
actor
FORESIGHT
MOBILISATION
Identify emerging
RESOURCES Establish contacts with
MOMENTUM hot topics in EC
Apply for publicly local adult education
Elaborate a franchise strategy (collaboration
CONTEXT manual for CE business synergies), i.e. funded projects Institutions to
dimension together with research implement and further
models. European Economic &
organisations. elaborate educational
sub-actions Social Committee, JRC, programmes.
Timeframe: EEA).
Timeframe:
Medium-term
Medium-term Timeframe:
Timeframe:
Short-term
Long-term
ATTITUDE
Activate sta to participate in activities related to
the CE, e.g. repair-cafes.

Timeframe: Short-term
APTITUDE
PEOPLE Transfer knowledge and intellectual capital on the Ensure continued education of the sta about CE
dimension CE within the enterprise. through PR activities.
sub-actions
Timeframe: Short-term Timeframe: Short-term

Ensure identification of the sta with the concept

of CE through PR activities

Timeframe: Short-term
FOSTERERS
Use existing networks to foster the
implementation of a CE.
CATALYSTS
PROCESS Provide an assessment of contributions of the Timeframe: Short-term
RUSZ to the CE (e.g. common goods balance
dimension sheet). Identify new stakeholders relevant to the
sub-actions implementation of a CE and build up networks
Timeframe: Short-term with them.

Timeframe: Long-term

TRANSFORMATIONS
Elaborate a franchise manual for CE business
models and disseminate it to relevant actors (e.g.
business universities). SUSTAINABILITY
Monitor internal procedures regarding their
IMPACT Timeframe: Long-term compliance with sustainability on all levels (e.g.
dimension common goods
sub-actions Collaborate with international students, scientists balance sheet).
and universities to spread the idea and foster
the implementation of societal transformation Timeframe: Long-term
towards a CE.

Timeframe: Medium-term
 C A S I - F :C O M M O NF R A M E W O R KF O RT H EA S S E S S M E N TA N D
50 M A N A G E M E N TO FS U S T A I N A B L EI N N O V A T I O N

6.3. CASI-F assisting

sustainability transitions
of social innovations
This section provides an overview of the results of CASI-F applied to support the sustainability assessment and
management of a product innovation. Below we outline the basic results from steps 1-3 of CASI-F.

Transition Now
CASIPEDIA source: http://www.casi2020.eu/casipedia/cases/1114

SI Description
In February 2013 the Danish green think-tank CONCITO and the newspaper Dagbladet Information hosted a seminar for
50 young people interested in the numerous challenges that surround our society today: climate change, resource
depletion, environmental degradation, financial crisis, economic crisis, unemployment and social unrest. During the
seminar, participants had the chance to analyse the situation in depth and to come up with creative, innovative, pragmatic
and radical ideas. They continued their cooperation a"er the seminar and established Transition Now, which became an
independent entity. As such, Transition Now (Omstilling Nu) positioned itself as a network and a project platform that
works to create transition to a sustainable future society. This requires action, innovation and not least a common eort
from both politicians and citizens. The network aims to provide an opportunity for open interdisciplinary dialogue related to
new sustainable solutions. It includes activities such as large-scale seminars, monthly debate cafes and guidelines for
citizens, all focused on how to move towards a sustainable society.
The main aim of Transition Now is to provide a new way of organising green advocacy work. It was not intended to
be just another green organisation and therefore it was established as an open source network with a central
coordinating group and communication structure (webpage and email newsletters) which provides opportunities for
people with visions, ideas and will to get together and coordinate activities.

SI Lead organisation
Omstilling Nu / Transition Now (Denmark)

SI Objectives
Create a transition to a sustainable future society
Provide a platform for dialogue between citizens, professionals, academia and politicians

Critical Issues

Financial resources (economic threat): As Transition Now is an NGO, it does not get any financial
support from the government, and does not have any financial sponsors. It gets support for oce
facilities, but it also need money for flyers, campaigns, etc. Growth will be dicult! It can involve new
volunteers, but it they cannot find financial support it will be hard to run new campaigns or host events.

Goodwill (social opportunity): Transition Now receives a lot of goodwill from its partners and from
society, because it focuses on sharing knowledge and supporting other organisations and helping them
with their ideas. All that goodwill serves as an opportunity for Transition Now to grow.

Pass on the know-how (social barrier): There are 20-30 core members who have been in Transition
Now since the beginning. Early on working for many hours was not an issue as the network members
were studying and didnt have other jobs. However, currently many of them have work and children, and
therefore they find it dicult to find the time and energy for voluntary work. If the network is to thrive in the
future, it is important to transfer all the know-how to its new members.

SI Assessment Box 3: CASI-F for social innovation assessment: Transition Now (DK)
 C A S I - F :C O M M O NF R A M E W O R KF O RT H EA S S E S S M E N TA N D
M A N A G E M E N TO FS U S T A I N A B L EI N N O V A T I O N 51

Some eight critical issues were identified together with the innovator and the following SI Critical Issue Goodwill
(social opportunity) was prioritised and considered for step 4 of CASI-F. Eight SI Management Actions were identified
and the innovator prioritised the following action: Private companies could develop strategies for how they can
integrate sustainability as a core value in their business, together with Transition Now (strategic action). Finally, step
5 of CASI-F required the co-creation of an action roadmap for the prioritised action.

SI Management Box 3: CASI-F for service innovation management: Transition Now (DK)

SI
Management Private companies could develop strategies for how they can integrate sustainability as a core value in their business,
together with Transition Now
Action
Action Type Top level management (strategic action) Recover (repeat actions done in the past)

Relevant
Civil society (Innovator)
actor

FORESIGHT
MOMENTUM
Read recent reports
Read the report: MOBILISATION
about green
Potential for Denmark Develop better
entrepreneurship in
as a Circular Economy. Denmark to learn about RESOURCES communication
This can be used Involve the members channels for the
(1) the future demand
as a tool to make and their network in organisation, so it will
CONTEXT contact with relevant for a platform for Transition Now, to be easier to call for
dimension green entrepreneurs,
companies. And it find project funding action when there is a
(2) guidelines on
sub-actions reveals some of the starting an new opportunities. need for more people
barriers/ opportunities to be involved in the
company and (3) ways
to a sustainable Timeframe: project.
to network with other
transition in Denmark. Short-term
entrepreneurs.
Timeframe:
Timeframe: Short-term
Timeframe:
Short-term
Short-term

ATTITUDE
APTITUDE Identify and recruit people who are very
PEOPLE Find people to make presentations with enthusiastic and involved in the idea of
knowledge and charisma, who can lead and making a platform, which can help new green
dimension motivate new entrepreneurs. entrepreneurs. A special education or skillset is
sub-actions not necessarily required.
Timeframe: Short-term
Timeframe: Short-term
FOSTERERS
PROCESS CATALYSTS Seek existing activities pursuing a similar idea
dimension Submit applications for financial support. and try to partner with them
sub-actions Timeframe: Short-term
Timeframe: Short-term
TRANSFORMATIONS
To be sure that there will be a green transition,
SUSTAINABILITY
IMPACT parameters and guidelines need to be developed Support the new green entrepreneurs who want
and used to measure and guide the companies
dimension along the green track in a five-year period a"er to create a more sustainable society.
sub-actions they have been involved in the project.
Timeframe: Medium-term
Timeframe: Medium-term
 C A S I - F :C O M M O NF R A M E W O R KF O RT H EA S S E S S M E N TA N D
52 M A N A G E M E N TO FS U S T A I N A B L EI N N O V A T I O N

6.4. CASI-F assisting

sustainability transitions of
organisational innovations
This section provides an overview of the results of CASI-F applied to support the sustainability assessment and
management of an organisational innovation. Below we outline the basic results from steps 1-3 of CASI-F.

Tempo al Tempo
CASIPEDIA source: http://www.casi2020.eu/casipedia/cases/956

SI Description
The Municipality of Monza has been actively restructuring and integrating services and facilities (e.g. schools with more eco-
friendly public mobility) as well as improving accessibility to public services by increasing the availability of online services. The
main goal of the Tempo al Tempo initiative is to improve access to city services through the development of the number of
services available online. This also requires the decentralisation of the access points to municipality services.
Through a series of organisational changes, Tempo al Tempo aims to create a decentralised and integrated system
that improves access to the city services and facilities such as public services, schools or administrative practices.
Other supporting innovations include exploitation of the apps already used to create an integrated system tailor-made for
citizens, potential changes to the daily behaviour of citizens, the creation of an integrated system to access services and
facilities for citizens, as well as new policies with a strong commitment from major and other stakeholders.

SI Lead organisation
Municipality of Monza (Italy) - Government actor (Regional / Local body)

SI Objectives
Save citizens time by oering them the opportunity to better manage their daily needs and tasks
Improve access to services and facilities
Change the public administration organisational culture
Avoid trac congestion and therefore pollution in town
Optimise municipality workers time
Avoid trac congestion and therefore pollution in the city

Critical Issues
Promises not kept (political threat): Announcing a programme of overall change in the field of public
services and then being able to realise only a minimum part of such a programme. Diculties in turning
the programme into concrete actions.

Lack of technological infrastructure (technological barrier): The initiative needs reliable technology
in order to support the digitalisation and the decentralisation of services. At the moment there are trained
contact persons, but the technological solutions are not yet ready.

Public administration culture (political opportunity): Changing the relational culture of the Public
Administration (PA).

SI Assessment Box 4: CASI-F for organisational innovation assessment: Tempo al Tempo (IT)
 C A S I - F :C O M M O NF R A M E W O R KF O RT H EA S S E S S M E N TA N D
M A N A G E M E N TO FS U S T A I N A B L EI N N O V A T I O N 53

Some nine critical issues were identified together with the innovator and the following SI Critical Issue Public
administration culture (political opportunity) was prioritised and considered for step 4 of CASI-F. Seven SI
Management Actions were identified and the innovator prioritised the following action: Involve civil society as a
driving force to accelerate the changes: adoption and strengthening of bottom up approach, the Bilancio partecipato
(strategic action). Finally, step 5 of CASI-F required the co-creation of an action roadmap for the prioritised action.

SI Management Box 4: CASI-F for organisational innovation management: Tempo al Tempo (IT)

SI
Management Involve civil society as a driving force to accelerate the changes: adoption and strengthening of bottom up
approach, the Bilancio partecipato
Action
Action Type Top level management (strategic action) Reinforce (Enhanced existing actions)

Relevant
Regional government
actor
MOMENTUM
Explore existing best
practices that have
already applied the
Bilancio Partecipato
CONTEXT (e.g. Parma, Milano,
dimension Gallarate etc.). This
aims to capitalise
sub-actions on best solutions
and reduce existing
weaknesses.
Timeframe:
Short-term
RESOURCES
Ensure that public MOBILISATION
FORESIGHT
funding is consistent Obtain community
React positively to
with the real needs of support by establishing
a new awareness
citizens by reducing a new agreement of
widespread at societal the waste of resources mutual benefit with
level: citizens willing
and exploiting data to local civil associations
to participate and oer
their contributions. better understand how to involve as many
and where to allocate citizens as possible.
them.
Timeframe:
Timeframe:
Short-term
Timeframe: Short-term
Short-term

APTITUDE
ATTITUDE
Ensure the implementation of creative processes
Promote cooperation and networking between
to carry out innovative solutions, providing a new
PEOPLE leadership style focused on implementation of all civil society actors in working groups focused
dimension on specific issues (immigration, family etc). For
a cooperative environment and sharing a new
instance, more public workshops to look for and
sub-actions concept supporting more informed decision- share the innovative solution.
making.
Timeframe: Short-term
Timeframe: Short-term

CATALYSTS
Involve citizens in decisions about the allocation
PROCESS of public funding. The Public Administration (PA)
promotes a new way to define the priorities
dimension (bottom-up) and a proactive capacity since
sub-actions citizens are involved in the designing process.
FOSTERERS
Ensure visibility of the best projects selected
within the Bilancio Partecipato.
Ensure that the process for realizing the Bilancio
partecipato (bottom-up) becomes a consolidated
praxis with a major and real impact on daily
issues.

Timeframe: Short-term Timeframe: Short-term

SUSTAINABILITY
TRANSFORMATIONS
Ensure adequate budget to implement the
Generate new knowledge about PA operations by
IMPACT understanding bottlenecks or issues which result Bilancio Partecipato on an annual basis, by
dimension encouraging a crowd-funding approach to
from citizens lack of commitment, but from
increase financial resources for the nominated
sub-actions issues in the national or regional legal system. projects.
Timeframe: Medium-term
Timeframe: Medium-term
 C A S I - F :C O M M O NF R A M E W O R KF O RT H EA S S E S S M E N TA N D
54 M A N A G E M E N TO FS U S T A I N A B L EI N N O V A T I O N

6.5. CASI-F assisting

sustainability transitions of
governance innovations
This section provides an overview of the results of CASI-F applied to support the sustainability assessment and
management of a governance innovation. Below we outline the basic results from steps 1-3 of the framework.

Innovation Fur
CASIPEDIA source: http://www.casi2020.eu/casipedia/cases/993

SI Description
Innovation Fur is an initiative launched by the island of Fur, Skive municipality, and EnergiMidt. The vision is to transform Fur into
a miniature model of the sustainable society of the future where modern technology is utilised to achieve a green profile.
Innovation Fur is a Living Lab - a means to explore innovative possibilities between public and private actors. Innovation Fur
enables a unique partnership between a group of dedicated citizens, a municipality with green ambitions, and a private company
with experts on energy and fibre optics. The initiative aims to inspire citizens, municipalities, regions, and politicians through a
continuous dialogue with scientists, investors, and companies interested in testing new technology on Fur.

SI Lead organisation
EnergiMidt Forsyning og Service A/S - Business actor

SI Objectives
To be CO2-neutral (within the energy and transport sector) by 2020.
To produce an annual climate impact report.
To have 25,000 more visitors to the island in 2020 compared to 2010 figures.
To have high-speed internet via fibre in all homes on Fur.
To achieve behavioural change among the inhabitants of Fur in order to seek energy-ecient and CO2-neutral solutions.
To contribute to the development of a sustainable welfare society in the future by demonstration of: modern
technology; digitalisation of public service, healthcare and education; energy-saving solutions.
To be a source of inspiration for citizens, municipalities, cooperatives, politicians, scientists, and investors.

Critical Issues

From idea to useful product (social barrier): In the long process of implementing an innovation and of testing
products and services, it can be hard for the citizens in the rest of the municipality to wait for the benefits. There
are many small problems and barriers in a huge process like Innovation Fur. It is therefore important that there
is a strong steering committee that can solve the problems early in the process.

The law on land management - Planloven (political barrier): Achieving the objectives, e.g. of increasing the
proportion of renewable energy in the system, is a challenge. The issue is that in Denmark there is a planning
law (Planloven on land management, which concerns, among other things, where it is legal to erect new
buildings. For example, is it not legal to build close to the coast. The project is on an island and therefore it is
dicult to find areas where it is legal to place bigger wind turbines and solar power plants.

Empowerment of citizens (social opportunity): As a result of the innovation, the citizens on Fur have
stronger networks, tools and knowledge.

SI Assessment Box 5: CASI-F for governance innovation assessment: Innovation Fur (DK)
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M A N A G E M E N TO FS U S T A I N A B L EI N N O V A T I O N 55

Some eight critical issues were identified together with the innovator and the following SI Critical Issue
Empowerment of citizens (social opportunity) was prioritised and considered for step 4 of CASI-F. Eight SI
Management Actions were identified and the innovator prioritised the following action: Developing strategies about
ways to maintain or increase the citizens engagement in further development of new sustainable technologies
(strategic action). Finally, step 5 of CASI-F required the co-creation of an action roadmap for the prioritised action.

SI Management Box 5: CASI-F for governance innovation management: Innovation Fur (DK)

SI
Developing strategies about ways to maintain or increase the citizens engagement in further
Management development of new sustainable technologies
Action
Action Type Top level management (strategic action) Recover (repeat actions done in the past)

Relevant
Business (Innovator)
actor

MOBILISATION
RESOURCES Strengthen the
FORESIGHT
MOMENTUM Estimate the optional cooperation
Scan for weak signals
Continue and further amount of resources Innovation Fur has
develop the strong and potential wild cards (both time and funding) with universities
related to the various
CONTEXT image universities roles citizens can play needed to promote and industry. This
dimension and the industry have citizen engagement can help to mobilise
in the development of
of EnergiMidt and and dialogues between the shareholders
sub-actions Innovation Fur. a sustainable welfare universities and (all customers are
society. industry. also shareholders of
Timeframe: EnergiMidt).
Timeframe:
Medium-term Timeframe:
Short-term
Short-term Timeframe:
Medium-term

APTITUDE ATTITUDE
PEOPLE Divide the stakeholders (customers) into dierent Strengthen communication and PR. It is important
groups according to geographical location or by to communicate the positive stories and show the
dimension type of stakeholder. ongoing process to the shareholders.
sub-actions
Timeframe: Short-term Timeframe: Short-term

CATALYSTS FOSTERERS
PROCESS Divide the stakeholders (customers) into dierent Strengthen communication and PR. It is important
groups according to geographical location or by to communicate the positive stories and show the
dimension type of stakeholder. ongoing process to the shareholders.
sub-actions
Timeframe: Medium-term Timeframe: Short-term

TRANSFORMATIONS SUSTAINABILITY
IMPACT Involve the shareholders more in the company Develop clear and user-friendly guidelines for
and allow them to be a bigger part of the the sustainable promotion of networks, tools and
dimension innovation and development work. knowledge supporting Innovation Fur strategies.
sub-actions
Timeframe: Long-term Timeframe: Short-term
 C A S I - F :C O M M O NF R A M E W O R KF O RT H EA S S E S S M E N TA N D
56 M A N A G E M E N TO FS U S T A I N A B L EI N N O V A T I O N

6.6. CASI-F assisting

sustainability transitions of
system innovations
This section provides an overview of the results of CASI-F applied to support the sustainability assessment and
management of a system innovation. Below we outline the basic results from steps 1-3 of CASI-F.

Passive House Kindergarten

CASIPEDIA source: http://www.casi2020.eu/casipedia/cases/1208

SI Description
Gabrovo Municipality is a leader in Bulgaria regarding the implementation of energy eciency practices. Seven schools, 10
kindergartens and a nursery feature in the projects of the municipality where energy eciency measures have been introduced.
The kindergarten Sun was built to the passive house standard. For many years SolAir has participated in international projects in
cooperation with its partners from the Center for Energy Eciency (EnEect) where the two companies have developed dierent
theoretical models. The first steps in the implementation of energy eciency measures in real buildings were made in 2007, with
the reconstruction of the former department store in the town of Pravets into an oce building and a high-tech laboratory for
research and experimentation. The building featured eciency indicators twice as high as those prevailing at the time that met the
requirements adopted a"er years of Class A buildings for energy eciency. Innovative for Bulgaria and Gabrovo, the project sets
new standards and presents a model to educate and encourage citizens to implement energy eciency measures. The
construction work was in seven months. The planning of the building was assigned to the architectural studio SolAir International
Ltd, assisted by EcoEnergy and EnEect. With the implementation of the project the team members were certified by the Passive
House Institute. A"er testing the air-tightness, detailed inspection of all project documentation and all construction materials and
technological equipment directly related to energy consumption for heating and ventilation, the building was certified as a passive
house by the Darmstadt Institute. This is the first building in Bulgaria awarded this highly prestigious certificate. By constructing a
kindergarten under passive house standards Gabrovo Municipality has introduced a new conceptual approach to
buildings/construction works in Bulgaria, where environmental awareness meets reduced and optimised maintenance costs and at
the same time keeps the focus on healthy lifestyles. This is an example for Bulgaria of the steps needed in this area for
sustainable development in particular for the construction of new schools, kindergartens and public buildings.

SI Lead organisation
Gabrovo Municipality Government actor (Regional/Local body)

SI Objectives
To increase energy eciency in buildings and thus reduce their environmental impact.
To support an economic development that is in line with the principles of sustainability and ecient use of
natural resources.

Critical Issues
Adoption of a new construction model (spatial opportunity): The benefit/opportunity from
showcasing the advantages of passive house kindergartens provides the possibility of adopting the
model and approving it as a standard in construction of such buildings.

Energy costs and resource eciency trends in the construction industry (economy driver):
Environmental awareness and healthcare, energy eciency, economically sound construction projects.

Improved child healthcare (environmental opportunity): Better conditions, educational eect

explaining the benefits and raising environmental awareness

SI Assessment Box 6: CASI-F for system innovation assessment: Passive House Kindergarten (BG))
 C A S I - F :C O M M O NF R A M E W O R KF O RT H EA S S E S S M E N TA N D
M A N A G E M E N TO FS U S T A I N A B L EI N N O V A T I O N 57

Some four critical issues were identified together with the innovator and the following SI Critical Issue Adoption of a new
construction model (spatial opportunity) was prioritised and considered for step 4 of CASI-F. Twenty-three SI Management Actions
were identified and the innovator prioritised the following action: Undertake a systematic awarenes-raising campaign of the need for
a Nearly Zero Energy Building (NZEB) application that provides outreach to vast groups of potential users (strategic action). Finally,
step 5 of CASI-F required the co-creation of an action roadmap for the prioritised action.

SI Management Box 6: CASI-F for system innovation management: Passive House Kindergarten (BG)

SI
Management Undertake a systematic awareness-raising campaign of the need for a
Nearly Zero Energy Building (NZEB) application that provides outreach to vast groups of potential
users
Action
Action Type Top level management (strategic action) Reinforce (enhanced existing actions)

Relevant
Business (Innovator)
actor
FORESIGHT
Design an awareness MOBILISATION
raising campaign for Design a
MOMENTUM the end-users of NZEB communication
RESOURCES
Orientate towards Buildings and engagement
Scan for suitable calls
bottom-up approaches model (partnership
for grants and mobilise
to convince first the Timeframe: agreements,
own resources and
end users and other Short-term ambassador and co-
CONTEXT stakeholders of the partners, including organiser programmes)
dimension need to adopt the Design an educational specialised high schools to engage dierent
to submit proposals
sub-actions NZEB standards as a campaign for the for funding and joint stakeholders and span
way to influence the stakeholders - students, forces. an awareness and
government. educators, young educational campaign
professionals and centered on demo
Timeframe:
Timeframe: industry practitioners. NZEB buildings.
Short-term
Short-term
Timeframe:
Timeframe: Short-term
Short-term

APTITUDE ATTITUDE
PEOPLE Use creativity-stimulating formats in the building Engage external mentors/trainers in educational
of marketing strategy, events/formats to build proper knowledge and
dimension strategy for investment attraction, etc. understanding among team members.
sub-actions
Timeframe: Short-term Timeframe: Short-term

FOSTERERS
CATALYSTS Design partnership programme and
PROCESS Thoroughly research and interact (initiate talks) communication strategy to leverage the synergy
with local ecosystem players to determine the between the core team external partners,
dimension potential key partnerships. supporters and collaborators.
sub-actions
Timeframe: Short-term Timeframe: Short-term

TRANSFORMATIONS
SUSTAINABILITY
Set long-term goals together with the short-and
Put the emphasis on practical examples through
medium-term ones and engage the partners
IMPACT and contributors around them. Define and demo buildings, samples and simulations to
dimension help the audience get the feeling of NZEB and
use dierent approaches that best suit every
visualise the economic and environmental eect
sub-actions stakeholder engaged at the corresponding level of it.
of action.
Timeframe: Short-term
Timeframe: Short-term
 C A S I - F :C O M M O NF R A M E W O R KF O RT H EA S S E S S M E N TA N D
58 M A N A G E M E N TO FS U S T A I N A B L EI N N O V A T I O N

6.7. CASI-F assisting

sustainability transitions of
marketing innovations
This section provides an overview of the results of CASI-F applied to support the sustainability assessment and
management of a marketing innovation. Below we outline the basic results from steps 1-3 of the framework.

ECOverified
CASIPEDIA source: http://www.casi2020.eu/casipedia/cases/6358

SI Description
ECOverified is a filed Certification Mark in the European Union and trademarked under classes 35 and 41. It was established
based on an ambition for a greener future, specialising in providing unique environmental and energy assessments. ECOverified
summarises the results of these assessments in the form of an Ecolabel and also certifies products and services so that it can
provide a complete ecological package for the hospitality industry. ECOverified is also creating and participating in social causes.
ECOverified provides high-level consultation delivered by a skilled team of doctoral researchers, MBA graduates and senior
engineers in the following sectors: greenhouse emission point (ISO 14067), human health and eco-toxicity (REACH and US EPA),
life cycle assessment (ISO 14040-44), biodiversity and resource consumption, corporate social responsibility (Ethics, ILO, ISO
8000 & Devel Programs) and By-Product Synergy (BPS).

SI Lead organisation
ECOverified (Greece) Research & education actor (Private research and innovation support organisation)

SI Objectives
To provide unique environmental and energy assessments.
To create an Ecolabel for the participating businesses.
To certify products and services as eco-friendly, in cooperation with universities.
To advertise hotels that have gained our Ecolabel in online booking agents such as familygoesout, booking.com, etc.
To create an NGO that will have a social impact by participating in causes such as Adopt a tree in Greece,
food for the refugees, 3D printed accessories, etc. To give holidaymakers the chance to adopt sea turtles, see
them and learn about them.
To create an application that will map eco-friendly locations and businesses. Greece will be the starting point,
hoping to expand that to other countries as well
To find alternative solutions for regions where recycling is not carried out, i.e. small islands.
To create a map with all the eco-related activities that are available.

Critical Issues

Green investment (economic opportunity): Green marketing motivates hotels so that they can invest
in green solutions.

Green solutions (environmental opportunity): More and more people are interested in the
environment and as a result they can motivate companies to apply green solutions.

Economic crisis (economic threat): Because of the economic crisis many companies are interested in green
solutions but cant aord to invest money in sustainable solutions. Also sometimes raw materials have a very low cost,
which makes it unsustainable from an economic point of view to purchase environmentally-friendly products.

SI Assessment Box 7: CASI-F for marketing innovation assessment: ECOverified (GR)

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Some 12 critical issues were identified together with the innovator and the following SI Critical Issue Green solutions
(environmental opportunity) was prioritised and considered for step 4 of CASI-F. Eight SI Management Actions were
identified and the innovator prioritised the following action: Establish an eective partnership strategy that involves
reputable endorsing/ certifying institutions and other influential tourism sector actors (tactical action). Finally, step 5
of CASI-F required the co-creation of an action roadmap for the prioritised action.

SI Management Box 7: CASI-F for marketing innovation management: ECOverified (GR)

SI
Management Establish an eective partnership strategy that involves reputable endorsing/certifying institutions and other influential
tourism sector actors
Action
Action Type Middle level management (tactical action) Initiate (new task never undertaken in the past)

Relevant
Business (Innovator)
actor

MOBILISATION
Make use of
FORESIGHT
ECOverified members
Scan for ICT trends in
MOMENTUM on Facebook where
Participate in enterprise cloud services in order RESOURCES people are informed
to build an ECOverified Take part in a funding
competition to support about sustainable
CONTEXT the development of cloud solution, which competition sponsored solutions via videos and
dimension both hotels and their by Microso" and
ECOverified digital info graphics; we intend
guests are motivated developers.
sub-actions platform. to apply to sustainable to educate the public.
Apply for cooperation
solutions. Timeframe:
Timeframe: with Carbon Footprint
Short-term
Short-term companies.
Timeframe:
Short-term
Timeframe:
Medium-term

ATTITUDE
APTITUDE
PEOPLE Share knowledge regarding sustainable solutions Apply a positive approach by speaking about
ECOverified on Athens radio stations to motivate
dimension focusing on hotels and their guests.
economic and ecologic targets.
sub-actions
Timeframe: Medium-term
Timeframe: Short-term

FOSTERERS
CATALYSTS
PROCESS Create a video for crowd-sourcing and to Keep taking part in MITs Enterprise Forums
competition for funding so that the public can be
dimension stimulate the public.
motivated via incentives.
sub-actions
Timeframe: Short-term
Timeframe: Short-term

SUSTAINABILITY
TRANSFORMATIONS
Develop communication and promotional
IMPACT Use the ECOverify platform to motivate the public material on how the ECOverified platform can
dimension via the hospitality industry so that sustainable
support the ECOnomy, ECOlogy and social
solutions can become lifestyle changes.
sub-actions sustainability in general.
Timeframe: Long-term
Timeframe: Long-term
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7. CASI-F impacts
and benefits
During the life of the CASI project there have been numerous planned and unplanned positive results from the
various activities that led to the development, implementation and dissemination of CASI-F. In this section we will be
highlighting some of the most important impacts and benefits of CASI-F.

7.1. Impacts of CASI-F

Five-step approach to sustainable innovation assessment and management a
clear and easy to apply approach that takes innovators or mappers through a
detailed relevance assessment and scanning of, in this case, sustainable
innovation initiatives, to multi-criteria analysis and assessment of SI initiatives. This
is followed by the analysis and assessment of critical issues (barriers, threats,
opportunities and drivers) that have the potential, either directly or indirectly, to
influence the developments around a given innovation. Two more steps which are
part of the management element of CASI-F are multi-level advice through the
elaboration of actions for four types of stakeholders at three levels of management
(strategic, tactical and operational), followed by a more
detailed roadmap sub-actions for a prioritised action
structured around four SI management dimensions and 10 SI
management key aspects (see Table 8 and the Glossary).

CASI-F positioned as a versatile framework supporting

sustainability oriented processes the versatile nature
of CASI-F has been recognised within CASI when
applied to seven dierent types of innovations, but also
in dierent contexts and thematic areas that are outside
CASIs scope, thus increasing the usability of the
framework and its impact potential.

New EC & MS-level project proposals using CASI-F as

a conceptual and methodological framework several
project proposals, for EC and national funding, were
submitted in order to further deploy and exploit the
application of CASI-F in various contexts, as well as to
promote the sustainability of CASI-F.
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Nuevos artculos de conferencias y trabajos utilizando el CASI-F como marco conceptual y metodolgico para
el alcance y el impacto del CASI-F entre las comunidades cientficas, se utiliz su marco conceptual y
metodolgico para elaborar artculos y ponencias de conferencias. Recientemente se han presentado dos
artculos a la Conferencia Anual del Foro UE-SPRI: "El futuro de la poltica de CTI" en Viena.

Una aplicacin exitosa de la CASI-F en el proyecto CASI (por ejemplo, 43 pilotos que producen 46 hojas de ruta
de accin) - el marco CASI fue pre-pilotado en dos municipios (Monza, en Italia, y Espinho, en Portugal) y
pilotado por socios del proyecto en 12 pases de la UE pases (tres a cuatro proyectos piloto por pas), lo que dio
como resultado el apoyo exitoso de las iniciativas de la IS al proporcionar asesoramiento a varios niveles y sub-
acciones para los aspectos clave de gestin de SI.

Otra aplicacin exitosa de CASI-F fuera del consorcio CASI (por ejemplo alrededor de 20 casos de estudiantes /
investigadores universitarios en Italia) - durante toda la duracin del proyecto CASIPEDIA (el banco de iniciativas de
innovacin sostenible de CASI) popularidad entre los actores de la investigacin y la educacin, principalmente como fuente
de estudios de casos para profesores. Ms recientemente, sin embargo, se ha observado la participacin activa del pblico,
ya que en CASIPEDIA se trazaron unos 20 nuevos casos de innovacin sostenible, y CASI-F fue aplicado a las iniciativas de
estudiantes e investigadores en Italia.

Comentarios positivos y respaldos de los usuarios del CASI-F, que promueven an ms la aplicacin del marco
diferentes contextos temticos, institucionales y geogrficos. Sus testimonios estn disponibles en el Anexo 5 y
en el CASI Portal web.

7.2. Beneficios del

CASI-F

Esta seccin presenta los beneficios de CASI-F

para la hlice cudruple de la innovacin
sostenible de los grupos de inters.
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Beneficios del Va 1 CASI F Va 2 CASI F Va 3 CASI F

CASI-F Innovaciones
Explore las prcticas de SI en el
local / nacional / internacional
rea de influencia poltica.
Implementar polticas que
direccin crtica especfica
cuestiones o consideraciones
Gobierno del SI. Establecer las
condiciones que permiten
ejecucin de acciones por las
empresas de SI.
Incluir nueva investigacin
prioridades de la agenda del SI.
Identificar oportunidades
Aprender de los competidores.
Refinar / definir estrategias SI.
Reforzar la gestin del SI.
Implementar acciones, meta
acciones.
Crear planes de trabajo,
Empresa basados en los casos piloto del
SI.
Descubre productos, servicios, y
las iniciativas sociales.
Reconocer aquellos factores de
la administracin del SI en los
que el compromiso es
necesario, participando en
Sociedad Civil actividades empresariales
orientadas a la sociedad.
Estar al tanto de nuevas
investigaciones, agendas de
innovacin y prioridades.
Utilice CASIPEDIA e indicadores
SI para apoyar conferencias e
investigaciones.
Incluir los factores crticos del SI
en los cursos de las escuelas de
negocios.
Comparar las cuestiones crticas
Investigacin y
del SI entre pases y sectores de
Educacin la gestin investigacin.
Desarrollar cursos de
capacitacin y carreras de
investigacin en reas
relacionadas con la agenta
poltica SI del CASI R&I(vase
Anexo 2).
Polticas
Incorporar nuevas ideas
sobre polticas en el proceso
de formulacin de polticas.
Cubrir los vacos polticos,
desarrollar nuevas polticas y
revisar los existentes.
Est inspirado en breves
informes y blogs para
formular nuevas polticas del
SI.
Disear planes de
contingencia que permitan
respuestas correctas a las
nuevas polticas y
reglamentos.
Identificar oportunidades
estratgicas y respuestas a
las ideas de polticas y
vacos.
Aprovechar la nueva
regulacin de oportunidades
o evitar el impacto negativo
de los nuevos desarrollos
polticos.
Usar boletines y blogs para
mejorar informacin sobre
las agendas polticas
actuales.
Identificar y comprender a
travs de blogs individuales
ms deseados del desarrollo
poltico y hacer estrategias
adecuadas.
Reaccionar a los reportes
polticos con informacin
sobre los cambios positivos
y negativos.
Incluir informes de polticas y
opiniones de blogs en
conferencias relacionadas
con el anlisis de polticas.
Utilice informes sobre
polticas para ampliar las
ideas sobre reas
especficas de investigacin,
ampliando as los datos
empricos.
Realizar investigaciones en
informes de polticas y blogs.
Aspiraciones
Entender los miedos y
expectativas de los individuos.
Dirigirse a las oportunidades,
amenazas y sugerencias en la
formulacin poltica de los
individuos.
Ajustar la investigacin y
financiacin de la innovacin a
las agendas propuestas de los
individuos.
Alinear productos y servicios a
los ciudadanos de intereses.
Considere las oportunidades,
amenazas y sugerencias de
los individuos en las
estrategias.
Aumentar la inversin en R&I
segn una nueva
investigacin de prioridades.
Definir las estrategias de las
organizaciones de la sociedad
civil a las expectativas de los
individuos.
Iniciar nuevas acciones
relacionados con las
oportunidades identificadas,
amenazas y sugerencias de
los individuos.
Alinear las estrategias de las
instituciones civiles a las
prioridades de los individuos.
Utilizar las visiones
ciudadanas en conferencias o
prospectiva y proyectos de
exploracin de horizonte y
cursos.
Hacer ms reas de
investigacin en tpicos
relacionadas con las
oportunidades, amenazas y
sugerencias de los individuos.
Crear nuevas reas de
conferencia segn el inters
de los individuos.

Tabla 10: Beneficios del CASI-F segn los grupos de inters.

Se resumen los posibles usos de la aplicacin del CASI-F en la evaluacin y gestin de innovaciones, polticas y
aspiraciones en la Tabla 10. Sin embargo, utilizando nuestro esfuerzo sistemtico para aplicar CASI-F a las
innovaciones de la primera va, aqu proporcionamos un debate elaborado sobre la forma en que los participantes
gubernamentales, empresariales, de la sociedad civil y de investigacin y educacin pueden beneficiarse de la
informacin, anlisis y asesoramiento generados durante el pilotaje del CASI-F.
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Los participantes gubernamentales pueden utilizar la informacin de la cartografa para explorar las prcticas a
nivel local, nacional o internacional de la influencia poltica. El anlisis resultante puede apoyar la
implementacin de mltiples polticas que aborden, por ejemplo, cuestiones tecnolgicas, econmicas,
ambientales, polticas, sociales, ticas o espaciales especficas. El consejo vinculado a las acciones generadas
pueden ayudar a los actores polticos a establecer las condiciones que permitan la implementacin de las
acciones de la SI por parte de las empresas e incluir nuevas prioridades de investigacin en las agendas de la
SI.
Los actores empresariales pueden utilizar la informacin de la cartografa para identificar oportunidades y
aprender de los competidores. El anlisis resultante puede apoyar la (re)definicin de estrategias SI y el
refuerzo de la gestin SI, mientras que el asesoramiento por una parte, facilitar la implementacin de acciones y
meta-acciones y, por otra parte, contribuir a la creacin de hojas de ruta basadas en casos piloto de SI.
Los participantes de la sociedad civil pueden utilizar la informacin del mapeo para descubrir nuevos productos, servicios e
iniciativas sociales. El anlisis resultante permitira a las organizaciones de la sociedad civil (CSOs) reconocer aquellos
factores de gestin donde el compromiso es necesario, aumentando as su participacin en actividades empresariales
socialmente orientadas. Los consejos generados del anlisis de las innovaciones puede aumentar el conocimiento de las
nuevas prioridades y programas de investigacin e innovacin de las CSO.
Los participantes de la investigacin y la educacin pueden utilizar la informacin del mapeo como estudios de caso en
conferencias e investigaciones sobre innovacin sostenible o para desarrollar nuevas bases de datos y estadsticas de SI. El
anlisis resultante puede servir para informar a los programas de gestin sobre los factores crticos de SI en las escuelas de
negocios y la investigacin de gestin sobre cmo los factores crticos de SI se comparan entre pases. Los consejos
vinculados a las acciones generadas pueden impulsar las carreras de investigacin a travs de nuevas prioridades de
investigacin.

Cul es el valor aadido de realizar este ejercicio para estudiantes, profesores, innovadores y para cursos
orientados a la sostenibilidad / innovacin en general?
En mi opinin, las cosas ms positivas e interesantes para los estudiantes son:
La aplicacin del CASI-F a un caso real se considera una buena oportunidad para aprender
haciendo, de una manera que es mejor y ms interactiva que las lecciones tradicionales y en
gran parte tericas.
La aplicacin prctica del CASI-F no slo mejora la capacidad de los estudiantes para analizar
los casos de SI, sino que tambin obliga a los estudiantes a analizar crticamente el caso y a
utilizar el razonamiento al proponer posibles soluciones para el desarrollo del SI.
Los estudiantes sienten que estn haciendo algo que podra ser til no slo para ellos, sino
tambin para el innovador (que puede beneficiarse de recibir comentarios y propuestas para el
desarrollo de su innovacin).
Estn orgullosos de estar 'involucrados', de contribuir y de hacer lo que los investigadores y
profesores del UNIMIB han hecho ellos mismos, en un proyecto de investigacin financiado por
la EC (es decir, el CASI)".

Fuente: MML Entrevista con Mattia Martini - Investigador de la Universidad de Milano-Bicocca (Anexo 5)

MML Recuadro 10: Sobre el valor agregado del CASI-F para la investigacin y la educacin
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8. Logros clave del

CASI-F, aplicacin al
H2020 y camino a
seguir
Este informe ha presentado una visin general del marco CASI (CASI-F) para la evaluacin y gestin de la
innovacin sostenible. Se ha prestado una gran atencin al desarrollo de asesoramiento multinivel, basndose en
una secuencia prctica / metodolgica, que incluye el escaneo, la seleccin, la cartografa y el anlisis de las
iniciativas de innovacin sostenible. En esta seccin final, centraremos nuestra atencin en los logros clave durante
la revisin y finalizacin del CASI-F, la relevancia de Horizonte 2020 y el camino a seguir.

8.1. Logros clave

En la Movilizacin y el Aprendizaje Mutuo (MML) para CASI-F: El camino hacia la finalizacin de CASI-F es un buen
ejemplo de movilizacin colectiva y aprendizaje mutuo, donde CASI se asocia en 12 pases de la UE (AT, BE, CZ, DE,
DK, FI, IT, PL, PT, SI, Reino Unido), junto con los corresponsales de los otros 16 Estados miembros y una red de ms
de 40 innovadores se dedicaron a la co-creacin y gran abastecimiento de soluciones a cuestiones crticas planteado
por el Desafo Social sobre Accin Climtica, Medio Ambiente, Eficiencia de Recursos y Materias Primas (SC5). El
proceso MML impulsado por CASI-F ayud a promover la incorporacin de la ciencia en la sociedad mediante la
integracin de mltiples fuentes de conocimiento y perspectivas de mltiples interesados (incluidas las de los
ciudadanos y expertos en sostenibilidad) en la evaluacin de temas crticos (vanse las secciones 4.3, ) y la mejor
gestin de las innovaciones sostenibles que abarquen las preocupaciones y necesidades de la sociedad (vanse las
entrevistas de las partes interesadas en el Anexo 5).

Sobre los Resultados Oficiales de CASI-F: Como se seala en la Descripcin del Trabajo del CASI (2015), el principal objetivo
del proyecto ha sido el desarrollo del CASI-F como "un marco metodolgico para evaluar la innovacin sostenible y gestionar
mediante el compromiso pblico en el sistema de investigacin, desarrollo tecnolgico e innovacin (IDTI), garantizando el
compromiso de un amplio espectro de actores sociales en su aplicacin, incluidos la industria, los responsables polticos, las
organizaciones de investigacin y la academia, las organizaciones de la sociedad civil y el pblico en general ". Para lograr
este marco metodolgico, los autores han desarrollado cinco conjuntos de pasos complementarios para la evaluacin y
gestin de SI. Por lo tanto, en trminos prcticos, CASI-F consta de cinco conjuntos interconectados de protocolos y
herramientas (Secciones 5 y 6):

1. Protocolos y herramientas para la relevancia y el escaneo de la sostenibilidad, es decir, identificar

innovaciones, polticas y aspiraciones relevantes para SC5;
2. Protocolos y herramientas para el anlisis y la evaluacin con varios criterios, es decir,
seleccionar o priorizar las innovaciones, polticas y aspiraciones propuestas utilizando un conjunto
de criterios relevantes para las prioridades de SC5 y MML;
3. Protocolos y herramientas para el anlisis y evaluacin de problemas crticos, es decir, analizar
innovaciones, polticas y aspiraciones seleccionadas para identificar y priorizar temas crticos,
tales como barreras, impulsores, oportunidades y amenazas;
4. Protocolos y herramientas para la gestin de asesoramiento a varios niveles, es decir, generar y
priorizar acciones de mltiples niveles y de mltiples partes interesadas para gestionar cuestiones
crticas prioritarias; y
5. Protocolos y herramientas para la gestin de las hojas de ruta de accin, es decir, elaboracin de
hojas de ruta para las acciones ms importantes y urgentes.
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Sobre los subproductos de CASI-F: Las numerosas actividades en torno al diseo conceptual, metodolgico, piloto,
implementacin y dificultad de CASI-F han dado lugar a impactos significativos (Seccin 7) y subproductos, algunos de
los cuales fueron planificados en el DoW , como la elaboracin metodolgica y la ejecucin de 43 pilotos CASI. Sin
embargo, hay otros subproductos "no planeados" igualmente importantes que merecen ser mencionados, como las 10
recomendaciones ms importantes para las agendas de polticas de R&I en SI (vase el Anexo 2) y la integracin del
Banco de Visiiones y Banco de Acciones en CASIPEDIA y CASI- F.

sd
8.2. Aplicacin al H2020
En CASI-F para Excelencia Cientfica: Tanto la metodologa CASI-F como sus "subproductos" (incluyendo CASIPEDIA, Banco
de Ideas, Banco de Acciones, Banco de Visiones y el Tutorial CASI de apoyo y otros mdulos como el CASI Blog y la
Biblioteca CASI de Documentos y Resmenes de Polticas) pueden ser vistas como infraestructuras electrnicas de
vanguardia capaces de fomentar el potencial de innovacin y el capital humano de Europa. Hacen esto: (1) introduciendo
enfoques orientados hacia el futuro para abordar los problemas crticos (potencialmente) que obstaculizan o impulsan la
sostenibilidad de la SI, y (2) promover un enfoque multipartito y de abajo hacia arriba para el desarrollo del conjunto correcto
de aptitudes y actitudes entre innovadores, patrocinadores, corredores y beneficiarios de SI. En este sentido, el uso
generalizado del CASI-F en la evaluacin y gestin de la IS ayudar casi con seguridad al sistema de R&I de la Unin
Europea a ser ms competitivo a escala mundial.

En el CASI-F para el liderazgo industrial: Hay varias maneras en que el CASI-F puede contribuir al pilar H2020 del liderazgo
industrial. En primer lugar, al incluir las innovaciones de productos, servicios, sociales, organizacionales, de gobierno, de
sistemas y de marketing, CASI-F puede estimular todas las formas de innovacin en las PYME y en las grandes empresas. En
segundo lugar, al promover el desarrollo de "planes de accin" en torno a las dimensiones de gestin del SI (contexto,
personas, proceso e impacto) y los aspectos clave de la gestin del SI (vase la Seccin 5.5, Tabla 8 y Glosario), el CASI-F
puede fortalecer e incrementar la capacidad de innovacin de los agentes industriales para contribuir al crecimiento
econmico ya la calidad de vida de las sociedades europeas. En tercer lugar, al fomentar una evaluacin y gestin multi-
sistmica de la sostenibilidad, el CASI-F puede ayudar a monitorear y promover transformaciones positivas en los sistemas
econmicos, sociales, ambientales, de infraestructura y gubernamentales (ver Seccin 4.5 y Figura 4).

En CASI-F para Desafos Sociales: CASI-F ha sido diseado, pilotado, implementado y promovido para abordar SC5. Sin
embargo, la versatilidad de su enfoque de cinco pasos para la evaluacin y gestin de los problemas crticos que configuran el
futuro de una amplia gama de innovaciones sugiere que el CASI-F podra adaptarse fcilmente y aplicarse a los otros SC
europeos. Estos son: Salud, cambio demogrfico y bienestar; Seguridad alimentaria, agricultura y silvicultura sostenibles,
investigacin martima y de aguas interiores y bioeconoma; Energa segura, limpia y eficiente; Transporte inteligente,
ecolgico e integrado; Europa en un mundo cambiante; y Asegurar las sociedades. De hecho, se ha utilizado una adaptacin
de los protocolos CASI-F (Seccin 5) en propuestas exitosas (para un Centro de Innovacin en Australia, para reas de
Bioeconoma Forestal en Uruguay y para RRI), mostrando as el potencial de nuevos desarrollos metodolgicos de CASI-F en
el futuro.

8.3. Camino a seguir

En el CASI-F para Innovaciones Insostenibles: Un rea para investigacin adicional est usando el CASI-F para
evaluar y manejar el fracaso promoviendo el aprendizaje mutuo de las cuestiones crticas y las acciones de las
innovaciones fallidas o a fallar. De hecho, algunos de los casos analizados y experimentados podran no ser
sostenibles en el futuro.
En el CASI-F para las innovaciones en etapas tempranas: Otra pregunta de investigacin abierta es si CASI-F
puede ayudar a las innovaciones en sus etapas conceptuales y de prototipos. En CASI nos enfocamos
principalmente en casos implementados con xito o en casos diferentes, por lo que los protocolos y
herramientas necesitaran incluir algunos criterios de evaluacin de impacto ex ante, si el CASI-F se aplicara
tambin a conceptos y actividades de demostracin.
En CASI-F para las Redes de Valor Global: En un mundo cada vez ms globalizado, una evaluacin sistmica y
la gestin de la interconexin entre varias innovaciones tendran que ser incorporadas al CASI-F para ofrecer un
valor sostenible a los usuarios finales en una amplia gama de negocios reas.
En cuanto al futuro de los protocolos y herramientas del CASI-F: Independientemente de los costos de mantenimiento
de CASI-F, su futuro se beneficiara de un nuevo paso que incorpora estndares de sostenibilidad ISO y mtodos y
herramientas de evaluacin cuantitativa (por ejemplo, LCA) como tarea preliminar o como una actividad transversal
que complementa todas las etapas del CASI-F (vase Prefacio).
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9. CASI-F Glossary
CASI Actions Bank
An action or advice co-creation tool that explores ways in which critical issues may be managed at strategic, tactical and operational
levels, and develops policy roadmaps for prioritised actions. The Actions Bank promotes more systematic and multi-level advice
management for SI initiatives. The tool is available for all registered CASI community members and can be accessed through the
navigation menu of the CASI portal on the main page of the CASI Actions Bank or by going to the following URL:
http://www.casi2020.eu/actions-bank/. While most actions in the Actions Bank are automatically extracted from CASIPEDIA results,
users can also access a separate input form and add actions by clicking on the add action button without mapping a case. The
management of advice is structured around the three most common management levels of advice: strategic (top-level
management); tactical (mid-level management); and operational (front-line management). In addition, during the fourth step of
CASI-F methodology, actions are targeted at the following four actors representing the quadruple helix of sustainable innovation:
(1) government; (2) business; (3) civil society; and (4) research and education. The mapping of these actions can be
conducted individually by the innovator (self-assessment), a trained mapper (CASI team member or country correspondent)
or collectively by a group of experts or CASI community members invited to contribute to a given SI initiative.

CASI Ideas Bank

An idea (aka critical issue) co-creation and management tool, which draws on over 500 Sustainable Innovation cases from
across Europe and the world. Of these, the 202 most CASI-relevant cases were selected for further analysis, which helped
gather a wide range of ideas that contributed to the co-creation of the CASI Ideas Bank. These ideas or critical issues
represent existing and potential barriers, drivers, opportunities and threats that can influence the success (i.e. uptake,
implementation or diusion) of sustainable innovation. The tool is available for all registered CASI community members and
can be accessed through the main navigation menu of the CASI portal, by clicking on the add an idea button on the main
page of the CASI Ideas Bank. The mapping of these critical issues can be conducted individually by the innovator (self-
assessment), a trained mapper (CASI team member or country correspondent) or collectively by a group of experts or CASI
community members invited to contribute to a given SI initiative. The following seven categories of ideas are considered in
CASI-F: technological, economic, environmental, political, social, ethical and spatial.

CASI Visions Bank

A vision is a picture or imagination of a desirable future, which may be based upon hopes and dreams - but also upon concerns and
fears in relation to problems or imagined threats that are not desirable. The aim of the Visions Bank is twofold: (1) to openly share
the results of a highly participatory citizens engagement process resulting in 50 visions on sustainable futures, with a time span of
30-40 years from now, developed during CASI citizen panels in the following 12 EU countries: Austria, Belgium, Bulgaria, Czech
Republic, Denmark, Finland, Germany, Italy, Poland, Portugal, Slovenia and the United Kingdom; and (2) to activate the vision-
based track of the CASI framework for the assessment and management of sustainable innovation (CASI-F) so as to allow for a
systematic mapping of critical issues (barriers, drivers, opportunities and threats) associated with SI visions, and to promote a more
public assessment and management of possible actions linked to such issues. The Visions Bank allows for further exploration of the
original 50 visions created in CASI citizen panels, but it also allows CASI community members to add their own vision to the Visions
Bank and to share their views about the most critical issues associated with that vision.

CASIPEDIA
A unique bank of sustainable innovation initiatives mapped by the CASI project, where activists, experts and
supporters of sustainability agendas can find various initiatives combining the environmental, economic and social
dimensions of sustainability. CASIPEDIA supports the mapping of practices, outcomes and players related to seven
types of SI, namely product, service, social, organisational, governance, system or marketing innovations.

Common
This refers to something that is done or shared by two or more (groups of) actors. In the context of CASI-F, common
indicates that the framework for the assessment and management of SI could be used by the quadruple helix of SI
stakeholders in multiple contexts.

Framework
This refers to both the physical or virtual platforms (tools) around which something is developed, and the system of
ontologies, methods and procedures (protocols) to inform and support decision-making.

sd
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SI Action Roadmap
This refers to the generation of a portfolio of sub-actions supporting the transition management related to the
implementation of a given SI Management Action (see below).

SI Assessment
This involves two complementary analyses: on the one hand, the identification, analysis and prioritisation of SI critical
issues (see below) associated with sustainability-oriented aspirations, policies and innovations and, on the other
hand, the generation, analysis and prioritisation of SI actions addressing prioritised critical issues.

SI Critical Factor
This refers to the 50 factors (clustered around 10 SI Management Key Aspects) influencing the sustainability of innovations.

SI Critical Issue
This refers to technological, economic, environmental, political, social, ethical and spatial (TEEPSES) issues shaping
the present and/or future of a given sustainable innovation.

SI Critical Issue Type 1: Barrier

This refers to any kind of existing limitation or obstacle whether technological, economic, environmental, political,
social, ethical or spatial of a given sustainable innovation initiative.

SI Critical Issue Type 2: Driver

This refers to any kind of existing force, trend or enabler whether technological, economic, environmental, political,
social, ethical or spatial that fosters a given sustainable innovation initiative.

SI Critical Issue Type 3: Opportunity

This refers to any kind of future possibility for a given sustainable innovation initiative to achieve something desirable,
such as a technological, economic, environmental, political, social, ethical or spatial goal.

SI Critical Issue Type 4: Threat

This refers to any kind of future possibility for a given sustainable innovation initiative to aected by something
undesirable, such as a technological, economic, environmental, political, social, ethical or spatial risk.

SI Management
This refers to the process of generating multi-level and multi-stakeholder actions responding to multiple types of critical issues.

SI Management Action:
This refers to any kind of managerial activity of a sustainable innovation at strategic, tactical or operational level.

SI Management Action Type 1: Strategic level

This action involves the definition of high-level aims, challenges, goals, objectives and priorities that require strategic attention or
orientation from top-level decision-makers in government, business, civil society, research and education organisations.

SI Management Action Type 2: Tactical level

This refers to actions from mid-level decision-makers aiming to translate strategic level objectives and priorities into
tactical interventions, such as investment, research or knowledge-transfer programmes and calls, funding schemes or
instruments as well as development and implementation mechanisms.

SI Management Action Type 3: Operational level

This action requires the intervention of front-line decision-makers - policy makers, civil servants, entrepreneurs,
citizens, researchers and workforce - who are directly responsible for the operationalisation of day-to-day activities
linked to tactical and strategic actions.

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SI Management Dimension
This refers to any of the following four specific areas where managerial actions are almost certainly required for sustainable
innovations: context, people, process and impact. A total of 50 critical factors were identified in these four dimensions.

SI Management Dimension 1: Context

This dimension consists of 17 critical factors clustered around four key aspects: Momentum, reflecting the potential space for
innovation, i.e. expectations of entrepreneurs and other actors, political drive from regulators or procurement, exemplars from other
technological or social enterprises, and the perception of problems that call for solutions; Foresight, showing the capacity to
anticipate, strategise and overcome gaps in the innovation curve; Resources, emphasising the need for healthy combinations of
skills, finance, location, markets, etc; and Mobilisation, including champions and facilitators, civil society engagement, government
engagement, research and education engagement, business engagement and proactive participation.

SI Management Dimension 2: People

This dimension consists of eight critical factors clustered around two key aspects (i.e. aptitude and attitude) shaping
the activities of the quadruple helix actors involved in sustainable innovation. Many objectives remain unfulfilled when
innovations fail to connect or mobilise the right people, or do not provide the right incentives or skills for key people.
Aptitude, refers to the actual skillset or competences of people involved in the design, development, implementation
and diusion of a sustainable innovation; attitude, means the type of behaviour of the same people.

SI Management Dimension 3: Process

This dimension consists of 14 critical factors clustered around two key aspects: Catalysts, contributing to initiate, develop
and implement the innovation; and Fosterers, including factors that further consolidate and diuse the innovation.

SI Management Dimension 4: Impact

This dimension consists of 11 critical factors clustered around two key aspects: Transformation, meaning the capacity to
make positive changes in the quadruple helix of SI and knowledge production; and Sustainability, referring to changes in
the socio-technical system where the SI operates that lead to positive environmental, social, economic, government and
infrastructure transformations without compromising the needs and welfare of future generations.

SI Management Key Aspects

This refers to 10 types of building blocs (momentum, foresight, resources, mobilisation, aptitude, attitude, catalysts, fosterers,
transformations and sustainability) related to the four SI management dimensions (context, people, process and impact).

SI Management Key Aspect 1: Momentum

This refers to the force that gets a sustainable innovation moving forward. There are three critical factors linked to this
SI key aspect: political setting (including regulations, decisions, rules, policies, guidelines, etc); exemplars (including
pioneering or leading models, standards, prototypes, examples, etc); and problems (including challenges,
complications and diculties as drivers of change).

SI Management Key Aspect 2: Foresight

This refers to the future-oriented strategic driver of a sustainable innovation. There are three critical factors linked to
this SI key aspect: horizon scanning-based approach (proactive mapping of critical issues, e.g. barriers, drivers,
opportunities and threats); trends-based approach (reacting to current developments); and strategic targets approach
(aligning goals with STI priorities of the system).

SI Management Key Aspect 3: Resources

This refers to the means that can be drawn on by a sustainable innovation in its design, development, implementation
and diusion. There are five critical factors linked to this SI key aspect: geographical setting (both environmental and
demographic conditions); funding (internal and external); infrastructure (physical and virtual); data (including hard and
so", e.g. statistics and insights); and scalability (potential to grow).
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SI Management Key Aspect 4: Mobilisation

This refers to the capacity of a sustainable innovation to reach and involve key stakeholders. There are six critical factors
linked to this SI key aspect: champions and facilitators (to engage stakeholders); civil society engagement (to promote
democracy); government engagement (to ensure governance and regulation); research and education engagement (to
promote evidence-based decision-making); business engagement (to promote public-private partnerships to address market
issues); and proactive participation (to address the needs of the quadruple helix SI players).

SI Management Key Aspect 5: Aptitude

This refers to the actual skillset or competences of people involved in the design, development, implementation and
diusion of a sustainable innovation. There are four critical factors linked to this SI key aspect: leadership (to guide
the innovation team); charisma (to inspire and mobilise key people); creativity (to reach original and innovative
solutions); and knowledge (to make sound and informed decisions).

SI Management Key Aspect 6: Attitude

This refers to the type of behaviour of people responsible for the design, development, implementation and diusion
of a sustainable innovation. There are four critical factors linked to this SI key aspect: enthusiasm (to spread interest
and excitement); empathy (to be more responsive to the needs of potential SI users and beneficiaries); involvement
(to promote cooperation and networking); and commitment (to achieve shared ownership and co-create success).

SI Management Key Aspect 7: Catalysts

This refers to critical factors enabling the design and development phases of a SI process. There are seven critical factors
linked to this SI key aspect: comprehensibility (to oer user-friendly solutions); crowd-sourcing (to achieve truly bottom-up
financial support); learning-by-doing (to promote more assertive evolution and incremental innovation); supportive services
(to deal with specific bottlenecks in the innovation process); absorptive capacity (to generate and act upon valuable
information or intelligence); ex-ante impact evaluation (to recognise and measure important benefits and possible risks) and
piloting and experimenting (to avoid disappointments and manage expectations).

SI Management Key Aspect 8: Fosterers

This refers to critical factors supporting the implementation and diusion phases of a sustainable innovation process. There
are seven critical factors linked to this SI key aspect: incentives (to further position the innovation); coordination (to manage
the relationship between the innovation team, sponsors, supporters and beneficiaries); networking and synergy (to better
capitalise momentum-related critical factors); knowledge management (to reinforce the innovation capacity of the team);
intellectual property management (to improve the competitive advantage of the innovation); ex-post impact evaluation (to
promote improvements through learning and demonstrate the positive environmental, social and economic impacts of an
innovation); and communication and dissemination (to increase the sectoral and geographical transferability).

SI Management Key Aspect 9: (multi-agent) Transformation

This refers to positive changes in the quadruple helix of SI and knowledge production. There are six critical factors
linked to this SI key aspect: stakeholder and community development (to consolidate new/existing players and
promote spin-os and networking); knowledge-based products and services (to increase academic, cultural or
scientific advances); values and lifestyle changes (to promote knowledge- and media-based cultural and behavioural
change); multi-challenge approaches (to better manage the complexity of dynamically changing socio-technical
systems, visions and paradigms); capacities and skills (to support workforce development, competences and jobs);
and entrepreneurship (to innovate and create new business opportunities).

SI Management Key Aspect 10: (systemic) Sustainability

This refers to changes in the socio-technical system in which the SI operates that lead to positive economic, societal, infrastructure,
environmental and government transformations. There are five critical factors linked to this SI key aspect: societal system
sustainability (to improve social cohesion/interaction, community sense, education); economic system sustainability (to improve
consumption, production, labour conditions, trade); environmental system sustainability (to protect cultural and ecological heritage,
species, resources, environmental protection laws and policies, etc.); government system sustainability (to improve public
participation and democracy) and infrastructure system sustainability (to improve the energy, water and food supply system, waste
management, settlements and cities, transportation, distribution and knowledge-transfer channels).
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SI Management Dimension
This refers to any of the following four specific areas where managerial actions are almost certainly required for sustainable
innovations: context, people, process and impact. A total of 50 critical factors were identified in these four dimensions.

SI Mapping
This refers to the systematic process of nominating and assessing sustainable innovations in terms of their practices,
outcomes and players.

SI Mobilisation
This refers to the process of seeking the engagement and commitment of the quadruple helix of stakeholders in the
systematic process of scoping, anticipating, recommending or transforming sustainability-oriented transition and futures.

SI Mutual Learning
This refers to the participatory multi-stakeholder process of mapping, assessing and/or managing sustainability-
oriented aspirations, policies and innovations.

SI Public Participation or Public Engagement

This refers to the process of engaging the quadruple helix of SI stakeholders (i.e. government, business, civil society
and research/education actors).

Sustainable Innovation (short definition)

is any incremental or radical change in a socio-technical system leading to positive environmental, economic and
social transformations without compromising the needs, welfare and wellbeing of current and future generations.

Sustainable Innovation (long definition)

is any incremental or radical change in the social, service, product, governance, organisational, system or marketing
landscape that leads to positive environmental, economic and social transformation without compromising the needs,
welfare and wellbeing of current and future generations.

SI Type 1: Product innovation

This refers to the introduction of a good that is new or significantly improved with respect to its characteristics or
intended uses (OECD, 2005). Product innovations include: scientific advances with innovation potential, industrial
innovations with deployment potential, and new products on the market with sustainability potential.

SI Type 2: Service innovation

This refers to the introduction of a service that is new or significantly improved with respect to its characteristics or
intended uses. For example, eciency or speed improvements, new functions or characteristics of existing services,
or the introduction of entirely new services (OECD, 2005).

SI Type 3: Social innovation

This refers to new solutions (including products, services, models, markets, processes, etc.) that simultaneously meet
a social need (more eectively than existing solutions) and lead to new or improved capabilities and relationships and
better use of assets and resources. In other words, social innovations are both good for society and enhance
societys capacity to act (Caulier-Grice et al., 2012).
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SI Type 4: Organisational innovation

This refers to the implementation of a new method in business practices, workplace organisation or external relations
to increase performance by: reducing administrative costs or transaction costs, improving workplace satisfaction (and
thus labour productivity), gaining access to non-tradable assets (e.g. non-codified external knowledge) or reducing
costs of supplies (OECD, 2005). This includes business model innovations such as: new
business/financial/infrastructure models, e.g. car/bike sharing or crowd-funded solutions.

SI Type 5: Governance innovation

This refers to new forms of citizen engagement, new democratic institutions, new public and user participation in
service design and delivery, and the use of public boards to govern particular choices. It includes new political
arrangements in local and national governments as well as changes in the organisational form and arrangements for
the planning and delivery of public services (Hartley, 2005). Governance innovations may also include: local policy
innovation, i.e. policy transfer from other places, or public service reform.

SI Type 6: System innovation

This refers to a set of interconnected innovations, where each is dependent on the other, with innovation both in the
parts of the system and in the ways that they interact (Caulier-Grice et al., 2012). This normally involves a complex
interaction of public policy and reforms to legislation, changes to business cultures and practices, as well as shi"s in
consumer attitudes and behaviour. System innovations also include combinations of two or more types of innovations
but such cases are not always labelled systems.

SI Type 7: Marketing innovation

This refers to the implementation of a new marketing method involving significant changes in product or service design or
packaging, placement, promotion or pricing (OECD, 2005). Sustainable marketing innovations are aimed at better positioning
the social, economic and environmental benefits of new/improved products, services and processes .
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10. References
Anttila, V. (2016) Report on CASI-F implementation. CASI project report. Deliverable 6.1.

CASI DoW (2015) Annex I to the Grant Agreement 612113 (Description of Work) of the CASI project on Public
Participation in Developing a Common Framework for Assessment and Management of Sustainable Innovation,
Theme SiS.2013.1.2-1 Mobilisation and Mutual Learning (MML) Action Plans: Mainstreaming Science in Society
actions in research, European Commission.

CASIPEDIA (2017). State-of-the-Art of Sustainable Innovation Database. [Online]. CASI Work Package led by The
University of Manchester, CASI project. Available at http://www.casi2020.eu/casipedia/.

Caulier-Grice, J. Davies, A. Patrick, R. and Norman, W. (2012) Defining Social Innovation. A deliverable of the
project: The theoretical, empirical and policy foundations for building social innovation in Europe (TEPSIE).
European Commission 7th Framework Programme. Brussels: European Commission.

Carayannis, E.G. and Campbell, D.F.J. (2009) Mode 3 and quadruple helix: toward a 21st century fractal innovation ecosystem.
International Journal of Technology Management 46 (34), pp. 201234.
Carayannis, E.G. and Campbell, D.F.J. (2010) Triple helix, quadruple helix and quintuple helix and how do knowledge,
innovation and the environment relate to each other? A Proposed framework for a trans-disciplinary analysis of sustainable
development and social ecology. International Journal of Social Ecology and Sustainable Development 1 (1), pp. 4169.

Council of the European Union (2013). Council decision establishing the specific programme implementing Horizon
2020 - the Framework Programme for Research and Innovation (2014-2020) and repealing Decisions 2006/971/EC,
2006/972/EC, 2006/973/EC,2006/974/EC and 2006/975/EC (15401/13).

European Commission (2001) European Governance: a White Paper. COM(2001) 428, 25.7.2001.

European Commission (2009) Impact Assessment Guidelines. SEC(2009) 92, 15.1.2009.

Gasparatos, A., El-Haram, M. and Horner, M. (2008) A critical review of reductionist approaches for assessing the
progress towards sustainability. Environmental Impact Assessment Review 28, pp. 286311

Hacking, T. and Guthrie, P. (2008) A framework for clarifying the meaning of triple bottom-line, integrated and
sustainability assessment. Environmental Impact Assessment Review 28 (23), pp. 7389

Hansen, E.G., Grosse-Dunker, F. and Reichwald, R. (2009) Sustainability Innovation Cube a framework to
evaluate sustainability-oriented innovations. International Journal of Innovation Management. 13 (4), pp. 683713
Hartley, J. (2005) Innovation in Governance and Public Services: Past and Present. Public Money & Management 25 (1) pp.
2734.

Hlsgens, R., Schultze, J., Anttila, V., Kozarev, V. and Linford, S., Martin, L., Velasco, G., Popper, R. (2017) Lessons
from a multi-level/stakeholder approach to sustainable innovation actions analysis, in Popper, R. and Velasco, G.
(Eds.) Sustainable Innovation Policy Advice. CASI project report. Deliverable 7.2.

Ivanov, K., Damianova, Z., Asenova, D. and Kozarev, V. (2016) Mutual Learning Seminars aggregated report. CASI project report.
Deliverable 3.2.

Lpez, A., Mabe, L., Sanchez, B., Tapia, C. and Alonso, A. (2015) Best practice solutions: methods for sustainability
assessment within the process industries. SAMT project report. Deliverable 2.1.

Martin, L. and Avarello, A. (2016) Report on the pilot application of CASI-F for assessing sustainable technology
innovation. CASI project report. Deliverable 5.1.
Ness, E., Piirsalu, U., Anderberg, S. and Olsson, L. (2007) Categorising tools for sustainability assessment.
Ecological Economics 60 pp. 498508

OECD (2005) Guidelines for Collecting and Interpreting Innovation Data. Oslo Manual 3rd Edition. Paris:
Organisation for Economic Co-operation and Development.
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Pihkola, H., Pajula, T., Tapia, C., Rittho, M. and Saurat, R. (2016a) Sustainability assessment methods and tools for
cross-sectorial assessment. SAMT project report. Deliverable 3.1.

Pihkola, H., Pajula, T. and Tapia, C. (2016b) Future research needs and input for standardization. SAMT project
report. Deliverable 3.2.

Pope, J., Annandale, D. and Morrison-Saunders, A. (2004) Conceptualising sustainability assessment. Impact
Assessment Project Appraisal 23 (4), pp. 293302

Popper, R. (2008) Foresight Methodology, in Georghiou, L., Cassingena H., J., Keenan, M., Miles, I., Popper, R.
(Eds.) The Handbook of Technology Foresight: Concepts and Practice. Cheltenham: Edward Elgar.

Popper, R., Velasco, G., Bleda, M., Amanatidou, E., Ravetz, J., Damianova, Z., Kozarev, V., Chonkova B., Tsin, S., Avarello, A.,
Martin, L. and Morris, D. (2016) Sustainable Innovation Conceptual Framework. CASI Project report. Deliverable 2.2.

Popper, R., Velasco, G. and Ravetz, J. (2016) State-of-the-art of Sustainable Innovation: Climate action,
environment, resource eciency and raw materials. CASI Project report. Deliverable 2.1.

Popper, R., Velasco, G., Ravetz, J., Amanatidou, E., Schwarz-Woelzl, M., Damianova, Z. and Kozarev, V. (2016) Dra" proposal of
common framework for assessment and management of sustainable innovation (CASI-F). CASI Project report. Deliverable 4.2.

Popper, R. and Velasco, G. (Eds) (2017) Sustainable Innovation Policy Advice. CASI project report. Deliverable 7.2.

Popper, M., Tregner-Mlinaric, A., Popper, R., Velasco, G., Schwarz-Woelzl, M., Van Eynde, S., Ramioul, M.,
Damianova, Z., Kozarev, V., Martini, M., Hlsgens R. and Schultze, J. (2017) Sustainable innovation policy advice
using a quadruple helix approach to innovations mapping, in Popper, R. and Velasco, G. (Eds.) Sustainable
Innovation Policy Advice. CASI project report. Deliverable 7.2.

Saurat, M., Rittho, M. and Smith, L. (2015) Overview of existing sustainability assessment methods and tools, and of
relevant standards. SAMT project report. Deliverable 1.1.

Schultze, J., Schrder, A. and Hlsgens, R. (2016) Report on the pilot application of CASI-F for assessing
sustainable social innovation. CASI project report. Deliverable 5.2.

Schwarz-Woelzl, M., Haider, W. and Philipp, S. (2016) Stakeholder Workshop Report. CASI project report. Deliverable 4.3.

Singh, R.K., Murty, H.R., Gupta, S.K. and Dikshit, A.K. (2009) An overview of sustainability assessment
methodologies. Ecological Indicators 9 (2), pp. 189212.
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Annexes
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11.1. Annexe 1: CASI project work packages and

tasks structure
The work plan spanned a period of 42 months (3.5 years) and was structured into 11 work packages.

WP1: Management. This work package established the management structure and internal management
procedures. A Steering Committee was established as an oversight mechanism for the project, and an Advisory
Committee and Network of country correspondents was set up to expand the geographical outreach of the project.

Task 1.1. Technical management

Task 1.2. Financial management
Task 1.3. Management procedures
Task 1.4. Action Networks
Task 1.5. Sustainability of the project

WP2: State-of-the-art. WP2 laid the foundation for the rest of the project. It involved a state-of-the-art report on
research and innovation related to the Grand Challenge Climate action, resource eciency and raw materials (SC5).
Review, analysis and mapping of sustainable innovation initiatives were carried out to establish a conceptual theoretical
framework, complemented by empirical cases gathered across Europe, and to provide a section on working definitions and
approaches to sustainable innovations. This WP is closely linked to WP3, WP4, WP5 and WP6.

Task 2.1. To systematically identify and review key sustainable innovation (SI) case studies
Task 2.2. To map key practices in SI case studies
Task 2.3. To map key players in SI case studies
Task 2.4. To map key outcomes in SI case studies
Task 2.5. To develop robust SI conceptual and methodological frameworks

WP3: Dialogue and Participation. WP3 ran in parallel with WP2 and went beyond it, aiming to build a common
understanding of sustainable technological and social innovation, as well as a common approach to SC5 among the CASI
partners and country correspondents. It enhanced the dialogue among consortium partners, country correspondents and
relevant stakeholders across Europe on sustainable innovation and environment-related issues through the involvement of
citizens in research and innovation policy-making, and by identifying topics for future research.

Task 3.1. Capacity-building for the consortium partners and the country correspondents
Task 3.2. Stakeholder Mutual Learning Seminars (MLS)
Task 3.3. Webinar for wider societal learning and participation
Task 3.4. Citizens and experts meetings

WP4: Common Framework for Assessment and Management of Sustainable Innovations

(CASI-F). The objective here was to develop a common framework for assessing the sustainability of innovations,
i.e. their advantages, disadvantages, relevance, benefits and risks, particularly their social, environmental and
economic dimensions, taking into account general public concerns. For this purpose, an online survey was launched,
and CASI-F held consultations with relevant stakeholders in the 12 participating countries.

Task 4.1. Online survey on the characteristics of SI

Task 4.2. Dra" proposal of CASI-F
Task 4.3. Stakeholders workshops on the dra" proposal of CASI-F

WP5: Pilot projects on testing and validating CASI-F. In order to avoid collecting irrelevant and
useless data, the CASI partners conducted a pilot testing of CASI-F. CASI-F was applied to a number of
technological and social innovation cases gathered in WP2, so as to (i) identify shortfalls and (ii) propose
adjustments/corrective changes to the assessment methodology.

Task 5.1. Technology innovation cases to be assessed via the CASI-F

Task 5.2. Social innovation cases to be assessed via the CASI-F
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WP6: Management of sustainable innovation. WP6 ran in parallel with WP5. The partners worked with
the case study actors involved in WP5 (technology or social innovators) in order to verify and include the changes
requested or suggested in the final version of CASI-F.

Task 6.1. Interviews/working meetings with the developers of innovation cases

Task 6.2. Revision and finalisation of CFAMSI

WP7: Policy Watch. This WP has established a common interface for easy monitoring of EU and national policy
cycles in order to enable the streamlining of sustainable innovation measures into organisational, national and
European strategic and policy planning processes. Throughout this WP, partners have been engaged in producing
policy briefs. The immediate output of this WP has served as input for the elaboration and advancement of policy
recommendations within WP8. A natural outcome is the European Network on Sustainable Innovation Policy Watch.

Task 7.1. EU-level policy debates monitoring

Task 7.2. National policy debates monitoring
Task 7.3. Reports on policy developments and initiatives
Task 7.4. Online policy blog

WP8: Policy Recommendations. Activities were focused on developing specific policy recommendations for
stimulating wider societal engagement in sustainable innovation activities, for their assessment and improved public
management, targeting dierent levels of governance.

Task 8.1. Policy dialogues among relevant stakeholders on a national level

Task 8.2. European-level policy conference on identifying common European priorities
Task 8.3. Final report on national and European-level policy recommendations

WP9: Heritage. The main challenge was to ensure that stakeholders in Europe, both within and without the
consortium would benefit from CASIs outcomes. Several approaches were employed so that the overall
sustainability would be ensured beyond CASIs formal duration.

Task 9.1. Online training for the application of CASI-F

Task 9.2. Promotion of CASI results and SI
Task 9.3. Strategy to ensure the sustainability of the project and its results

WP10: Communication and dissemination. All communication and dissemination approaches to be

applied during the project were listed in a communication strategy aiming both to raise awareness among all groups
of stakeholders as to why it is necessary for them to interact, exchange ideas and participate in the process of
sustainable innovations assessment, and to reach all targeted audiences.

Task 10.1. Project web portal, homepage widgets, main modules and CMS access
Task 10.2. CASI Knowledge platform Online platform for internal exchange of knowledge
Task 10.3. CASI Library dissemination database
Task 10.4. CASI Community with social networking interfaces
Task 10.5. CASI Communication Strategy
Task 10.6. CASI Tutorials Joint activities and education materials
Task 10.7. Final national promotional events
Task 10.8. Participation in EU-level events

WP11: Evaluation. This WP responded to the requirement of the call to establish systems for internal and
external evaluation to ensure that project progress and results were in accordance with the work plan and met the
objectives of the Science in Society programme.

Task 11.1. External evaluation, made by independent experts

Task 11.2. Internal observer
Task 11.3. Internal evaluation by consortium partners
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11.2. Annexe 2: CASI-F driven R&I policy agendas for SI

The following ten research and innovation (R&I) policy agendas for sustainable innovation (SI) are based on the CASI
report State-of-the-art of Sustainable Innovation: Climate action, environment, resource eciency and raw materials
(Popper et al., 2016b). These are further discussed in a CASI policy report chapter on Sustainable innovation policy
advice using a quadruple helix approach to innovations mapping (Popper et al., 2017)

SI Agenda 1: Strengthening eco-community empathy and crowd-funded development

The agenda for eco-community empathy, or the wider notion of sustainable communities, needs to balance
aspirations with reality in a fragmented and o"en unequal world. At its roots, the notion of empathy is about inter-
dependency and the building of reciprocity, solidarity and mutual aid. All this cuts across conventional boundaries
around economy or society; likewise the responses to this Agenda include all seven types of SI.

There is an economic dimension to SI types that engage stakeholders in sustainable and crowd-funded businesses,
building local and regional economic prosperity and resilience, and cooperative business models which can re-invest
in local communities and endogenous regional development. A governance dimension seeks new models of multi-
stakeholder engagement in long-term sustainable development actions; multi-sector public services which can
address inter-connected problems; and new models for citizen empowerment and gender/ethnic equality.

An ecological dimension seeks policies, programmes, partnerships and networks to protect natural resources in
urban and rural areas, in which ICT innovation can help to mobilise social innovation, and vice versa. Each of these
feeds into a social, cultural and psychological agenda, where empathy is a driver of behavioural change and of the
building of more sustainable institutions.

Related H2020 priorities

Resource ecient sustainable lifestyles
Climate change mitigation solutions
Climate action by sustainable lifestyle
Eco-innovation and green economy transition
Strategic intelligence and citizens participation

Related citizens priorities

Supporting local/regional agricultural production, distribution and consumption systems
Supporting people to become producers of renewable energy
New working models new economic models
Fair and participatory access to limited resources
Ensuring inclusive and dynamic city centres
Sustainable living environments
Sustainable economics
Unified ecological grading system
Research on business models and changing institutions related to a sustainable energy economy
Supporting an active civil society for sustainable development
Supporting Eco-preneurship
Access to natural resources as a human right
Research on individual urban farming
Co-developing green technology
Impact of virtual communities in behavioural change
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SI Agenda 2: Developing sustainable urban and rural infrastructures for the bioeconomy
A sustainable economy means many things to many people, but a good place to start is with its infrastructures.
Buildings and the built environment have huge potential for greening and material eciency; the logistics and
distribution systems of a complex economy can be tuned and restructured. Industrial supply chains can be managed
through concepts of the service and sharing economy and consumption patterns can be reshaped in the light of
new urban and rural infrastructure, promoting a circular bioeconomy.

However, all this goes far beyond technical issues, into the deeper waters of policy, behaviours, institutions, cultures,
and so on. The SI types from CASI cover many angles of this; some are specific product solutions to specific
problems, such as the technology of a green roof, but many more address the system-level inter-connections, with
services, organisational, governance, social and system SI types.

Future R&I agendas should explore this further and more systematically, and look at how SI and sustainability R&I
can develop new social-economy, connected-economy or foundational economy models which then enable the
technology and product innovations to reach their potential.

Related H2020 priorities

Resource-ecient sustainable lifestyles
Climate change mitigation solutions
Climate action by sustainable lifestyle
Eco-innovation and green economy transition
Climate action eco-innovation policies

Related citizens priorities

Supporting local/regional agricultural production, distribution and consumption systems
Supporting people to become producers of renewable energy
Sustainable construction of buildings
New working models new economic models
Greater greening of cities
Understanding and implementing sustainable electronics
Sustainable living environments
Sustainable economics
Research on business models and changing institutions related to a sustainable energy economy
Supporting Eco-preneurship
Collaboration through shared space
Co-developing green technology
Impact of virtual communities in behavioural change
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SI Agenda 3: Deploying responsible environmental and resource-eciency strategies

The environmental management agenda o"en raises conflicts between health and economic activity, between dierent social
groups, or between costs and benefits. O"en neither public policy nor markets are well suited to the scale of the problems, so the
possible responses are found in many types of SI. For example, governance innovations look at new regulations, trading schemes,
charging schemes and public information systems, as partial solutions. Product innovations focus more on the upstream issues of
emissions control and monitoring, while many service innovations address whole systems such as transport or industrial supply
chains, and the hotspots of residential areas and cultural assets. Water is likewise a cross-cutting issue, calling for new models of
economic and social and informational exchange and inter-dependency.

Meanwhile, addressing the fundamentals of an urbanised society with widespread air and noise problems calls for systemic
solutions for sustainable consumption, low-impact living, and education for behavioural change. Similar approaches apply to
water resource management, where system-level concepts such as integrated catchment management raise the challenge
of inter-dependency and collaboration in a multi-level and multi-sector governance situation.

Related H2020 priorities

Resource-ecient sustainable lifestyles
Climate change mitigation solutions
Climate action by sustainable lifestyle
Eco-innovation and green economy transition
Raw materials-conscious sustainable lifestyle
Climate change adaptation solutions
Solutions to water imbalances
Solutions for cultural heritage assets
Biodiversity monitoring and understanding
Awareness of raw materials shortage
Long-term raw materials availability

Related citizens priorities

Fair and participatory access to limited resources
Sustainable living environment
Unified ecological grading system
Access to natural resources as a human right
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SI Agenda 4: Creating sustainable bio-fuel and renewable energy solutions

Energy is the basis of a complex industrial society, and the SI agenda works equally on the supply, distribution and demand
sides. Many of the SI types from CASI look at specific technologies, such as biogas or anaerobic digestion. Many more look
at the potential for social economic and governance models, such as community energy or eco-schools, which enable and
encourage renewable energies on the supply side, or rapid eciency improvements on the demand side.

As for future R&I agendas, there is the potential on the horizon for energy system transformation, in the sense of zero
carbon supplies. More complex is the notion of energy cascades, both in technical terms such as industrial ecology,
and in design or behavioural terms in the usage of buildings, appliances and mobility.

Related H2020 priorities

Resource-ecient sustainable lifestyles
Climate change mitigation solutions
Eco-innovation and green economy transition
Eco-solutions to reduce raw materials use
Solutions to explore, extract, process and recycle
Alternative raw materials
Awareness of raw materials shortage
Eective raw materials policies
Long-term raw materials availability

Related citizens priorities

Supporting people to become producers of renewable energy
Enhanced physical activity for better quality of life and energy eciency
Improvement of European electricity transmission to increase renewable energy production
Sustainable living environments
Research on business models and changing institutions related to a sustainable energy economy
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SI Agenda 5: Promoting foresight for sustainability governance and intelligence

The institutions of governance were developed for a 20th century model of industrial society. Today the 21st century agenda
for sustainability in a highly inter-connected world calls not only for marginal improvement but for new models of
governance. Some of the SI priorities from CASI call for citizen engagement or new levels of policy integration, while some
focus on the resources in the public sector at a time of shrinkage. The potential of ICT and datafication is huge in all these.

For the future, new models of governance need to be explored more systematically, and applied in every sector where
governance has a role. The SI cases in CASI so far are a good demonstration of the current state of the art. Some of them,
though experimental, point towards alternative models and institutions for decision-making, representation and participation,
active engagement of all sectors, sustainable resource management, and public services which can do more with less.

Related H2020 priorities

Climate change mitigation solutions
ICT systems improving resource eciency
Strategic intelligence and citizens participation
Climate change adaptation solutions
Climate action eco-innovation policies
Solutions for cultural heritage assets
Biodiversity monitoring and understanding
Eective raw materials policies
ICT to assess and predict climate actions
Climate change projections and scenarios
ICT mapping natural resources and trends
ICT systems to map raw materials trends

Related citizens priorities

Fair and participatory access to limited resources
Sustainable living environments
Unified ecological grading system
New spaces for public discourse
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SI Agenda 6: Advancing recycling and circular use of waste and raw materials
In the aspiration to a circular economy, waste is simply a resource in the wrong place but, in current realities, the
pressures on large and small businesses and organisations seem to produce waste, which then has to be managed.
Some waste streams are more viable than others for re-use, re-engineering or recycling. The CASI cases show a
wide range of approaches, from the small scale of social enterprises, which train the unemployed in repair skills, to
the large scale of national schemes for industrial symbiosis. They cover the full range not just of product innovations
but also of social, service, governance, organisational, marketing and system innovations.

For the outlook, while the principles of a circular zero-waste economy are accepted on all sides, the practice depends
on many challenges still to be addressed. The R&I eort should focus systematically on issues such as circular
business and finance models, circular consumption systems in households and communities, and the implications of
the sharing/experience economy and of globalised business and lifestyles.

Related H2020 priorities

Resource-ecient sustainable lifestyles
Climate change mitigation solutions
Climate action by sustainable lifestyle
Eco-innovation and green economy transition
Eco-solutions to reduce raw materials use
Raw materials-conscious sustainable lifestyle
Solutions to explore, extract, process and recycle
Alternative raw materials

Related citizens priorities

Sustainable construction of buildings

Sustainable living environment
Collaboration through shared space
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SI Agenda 7: Embedding sustainability in cultural and holistic education models

Clearly a sustainable future is in the hands of the young and the education system which surrounds the theme, but it
is also in the hands of citizens, workers and policy-makers at all levels, whose skill-base and knowledge-base can
shape the world as it is. In this light, and defying the conventional trappings of a modern consumerist, high-mobility,
high-impact society, the CASI evidence-base is particularly relevant in terms of the Citizens Panels, which seem to
provide the foundations of an alternative and more sustainable model. This plays out in the SI cases, where not only
school curriculum design but alternative notions of what is a school are explored.

For the agenda in prospect, there are many trends and pressures, such as on-line education and gamification, the use of big data or
social media in eco-feedback for citizens and businesses, pressure on education for results and impacts and, generally,
countering the culture of globalised consumerism and distrust of governance. The CASI cases demonstrate some ways into this, but
the next R&I programmes should systematically explore the potential and also the barriers to education for sustainability.

Related H2020 priorities

Resource-ecient sustainable lifestyles
Climate change mitigation solutions
Climate action by sustainable lifestyle
Strategic intelligence and citizens participation
Climate change adaptation solutions
Awareness of raw materials shortage

Related citizens priorities

Holistic education for a sustainable future
Enhanced physical activity for better quality of life and energy eciency
Sustainable living environment
Impact of virtual communities in behaviour change
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SI Agenda 8: Fostering eco-local-agriculture and bio-resources eciency

Food and farming systems underpin almost every sector and community. On the supply side, farming and fisheries are
deeply embedded in rural and coastal economies and societies, as well as in environment and climate issues. On the
distribution and demand side, food is a deeply cultural and psychological issue, at the same time raising huge challenges in
public health and education. A wide range of CASI cases demonstrate this inter-connectedness (although with fewer product
types than elsewhere). Many focus on the local community level and aim for more feedback and circularity between
producers and consumers. Some look at industrial ecology and alternative cultivation, such as aeroponics or aquaculture.

Are there transformational innovations or systems in prospect, beyond the small-scale experiments and community
social innovations? Some ideas come directly from citizens themselves, such as insect food or edible towns. Future
R&I should explore the multi-scale questions more systematically, i.e. how to scale up the micro-innovations, and
also how to influence global food systems for a post-oil sustainable food transition.

Related H2020 priorities

Resource-ecient sustainable lifestyles

Climate change mitigation solutions
Climate action by sustainable lifestyle
Eco-innovation and green economy transition
Biodiversity examination and understanding

Related citizens priorities

Supporting local/regional agricultural production, distribution and consumption systems

Innovating agriculture: the sustainability option
A new European food culture
Research on individual urban farming
Exploring the introduction of insects as food
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SI Agenda 9: Implementing sustainable transport and smart mobility innovations

Sustainable a mobility, accessibility and/or transport modal shi" is a well-worn path of R&I, in technology, behaviour
and governance. The CASI cases demonstrate the state of the art: many new opportunities are coming through smart
cities and the use of big data and mobile technology. Other opportunities on the demand side or modal shi" are in
social innovation and community empathy. Vehicle technology continues to progress but in some cases meets a
system-level barrier, as with deployment of electric or hydrogen-based vehicles. Urban design has made some
progress towards pedestrian zones and accessibility planning, but there is much further to go.

The outlook raises challenges in several ways. One is that of technology determinism (as in smart cities systems), versus wider
debates on the right to the city (as in the reshaping of local communities, housing markets and local economies). Another is about
the question of unlimited mobility as the foundation of a fluid, outsourced, globalised economy and society. Future R&I agendas
should explore these tensions as an essential under-pinning to practical initiatives on transport supply and demand.

Related H2020 priorities

Resource-ecient sustainable lifestyles
Climate change mitigation solutions
Climate action by sustainable lifestyle
Eco-innovation and green economy transition

Related citizens priorities

Sustainable transformation of existing trac infrastructure in cities
New working models new economic models
Sustainable living environments
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SI Agenda 10: Dealing with climate issues and managing greenhouse gas emissions

As climate change is perhaps the grandmother of all environmental problems, and despite the agreement on aspirations at
the Paris COP, complete solutions are not expected in the near future. There are uncertainties on costs and benefits,
controversies on resources and restructuring of economies and infrastructure, and a continuing campaign of scepticism and
denial, not only from lobby groups but also as a result of disconnections in the public mind and psychology. The CASI cases
demonstrate this wide range of issues and possibilities, from practical technologies or business models to national
infrastructures. Many also focus on the human side of education, feedback, community empathy and cultures of inter-
dependency and responsibility, as well as on practical social-finance business models or land-use regimes.

Future R&I agendas could take such initiatives and many others as a starting point, i.e. where climate solutions are not only
a technocratic top-down type of problem, but more about opportunities distributed across many sectors and many levels. If
we can systematically explore these wider inter-connections between multi-level and multi-sectoral opportunities, there is a
better chance of shi"ing climate change from problem to opportunity, and engaging all parts of society in a common aim.

Related H2020 priorities

Climate change mitigation solutions

Climate action by sustainable lifestyle
Climate change adaptation solutions
Climate action eco-innovation policies

Related citizens priorities

Supporting local/regional agricultural production, distribution and consumption systems

Sustainable economics
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11.3. Annexe 3: Visualising CASI-F

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11.4. Annexe 4: Visualising CASIPEDIA

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11.5. Annexe 5: CASI-F benefits and impacts

MML Interview on CASI-F benefits and impacts from a CASI partners perspective

Interview with Mattia Martini Researcher at the University of Milano-Bicocca

(UNIMIB)

By Monika Popper

You have recently engaged your students in a mapping activity that involves the elements of
nomination, assessment and management of Sustainable Innovations facilitated by the CASI
Framework (CASI-F protocols and tools). Can you tell us more about it?
"In February 2017 I got involved in a new course on 'Management and Social Entrepreneurship' within the Master's
degree programme in Management and Service Design at UNIMIB. It is a blended course, where traditional
classroom lessons alternate with online sessions and project work to be carried out by students. As project work
activity the students were assigned the application of CASI-F to a new sustainable innovation (SI) case. In small
groups (max 3-4 students per group) the students were asked to:
nominate a Sustainable Innovation case
map the SI case (in terms of practices, outcomes and players)
identify critical issues related to the case
develop an Action Plan/Roadmap to support SI management

Each group has to complete the above steps using the CASI platform and involving one or more stakeholders from
the case. The students were provided with supporting material, including CASI project reports (Deliverables 2.1, 2.2,
and 6.2), CASI webinar sessions and PDF examples of four fully mapped SI cases from CASIPEDIA. The students
will present their work to course lecturers and other students in a classroom session."

How many new cases have been nominated by the students so far and upgraded to full mapping?
Are more nominations expected?
"As of today, 17 new SI cases have been nominated and accepted for full mapping based on the review of
information and relevance assessment I conducted. The initiatives address dierent types of innovation; most involve
product, service and social innovation. Since the activity is still ongoing, a few more cases may be nominated in the
coming days but, as the total number of students is 45, I think we are about to reach the target."

Would the students work independently or would the mapped cases be a result of wider
engagement and co-creation?
"Once the overall instructions about the content and structure of CASI-F and CASIPEDIA had been presented to students in
two sessions (2hrs each), the students started on the group work. Students who entered the selected cases into the system
were able to invite other students to co-create the case (i.e. all invitees have rights to contribute). The students were also
asked to contact innovators, who could be invited to review and collaborate in the mapping process. The minimum
engagement with the innovators required from the students is to conduct an interview with the innovator in order to complete
the full mapping. Depending on the availability and interest of the innovators, they could be involved in a second meeting to
jointly assess and prioritise SI-related critical issues and define an action plan for improved management of SI. It will be
really interesting for us to know how many innovators became engaged in the process and which elements or stages of it
were most useful for them (this information was available from the end of March 2017)."
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What is the students' overall attitude towards this Mobilisation and Mutual Learning initiative (i.e.
bottom-up and crowd-sourced mapping of SI)? What is the level of their engagement and motivation?
"In the preliminary sessions, when the students were presented with the assignment description they were a bit
afraid, as it appeared quite challenging to them. In particular, they were worried by the fact that the case and the
action plan had to be mapped in CASIPEDIA using English.

However, from the beginning of the assignment I have seen them strongly motivated and soon a"erwards they started
nominating and mapping the cases. Most students had immediate ideas about initiatives they wanted to map, which
related to a product or service they had heard about or come across and considered interesting. The students then
started contacting the innovators and receiving positive responses regarding their availability and willingness to
collaborate, which is very encouraging and will further motivate the students, in my opinion."

Note: Since 16 February 2017, 263 online activities (edits/updates) and 49 invites to cases were sent and recorded in
the system. These are related to the 17 cases that are still being mapped by UNIMIB students and the numbers
increase each day. Additional evidence of high-level of engagement among the students is provided by the fact that
some of these activities took place during weekends and at unusual times.

What is the added value of conducting such an exercise? For students, lecturers, innovators, and
for sustainability/innovation-oriented courses in general?
"I am fully convinced that the mapping exercise applying CASI-F is very useful for students and lecturers. I will have a
full picture of CASI-Fs potential at the end of the exercise, but I can already confirm what follows. In my opinion, the
most positive and interesting things for the students are:
The application of CASI-F to a real case is considered a good opportunity to learn by doing, in a way that is
better and more interactive than the traditional and largely theoretical lessons.
Practically applying CASI-F not only enhances the ability of students to analyse SI cases, it also forces students
to critically analyse the case and to use reason when proposing possible solutions for SI development.
The students feel they are doing something that could be useful not only for them, but also for the innovator (who
may benefit from receiving feedback and proposals for the development of their innovation).
They are proud to be involved, to contribute, and to do what researchers and professors from UNIMIB have
done themselves, in an EC-funded research project (i.e. CASI).
For lecturers and the course in general:
Lecturers can rely on a well-structured procedure for analysing SI initiatives, which does not need to be strongly
modified to be used in the context of a Master's course.
Plenty of comprehensive supporting material is already available for students to better understand the overall
CASI-F procedure (students can then work autonomously on most of the steps). The upcoming CASI online
training course will further reinforce this aspect.
By contacting and interacting with innovators (potential employers), the students not only widen their network
within the labour market but also promote the Management and Social Entrepreneurship course, which may be
of interest to star-ups, SMEs, and the like.
In general, I have a positive feeling about the potential use of CASI-F in university courses. Particularly when it
comes to the area of sustainability and innovation (still under-researched and ambiguous in nature), it is very
useful to allow students to deepen the topic by working in the field (by directly interacting with innovators).
With regard to innovators, we would be very interested in knowing whether they have found any added value in
the collaboration with our students and look forward to receiving their feedback at the end of the projects work."
With regard to innovators, we would be very interested in knowing whether they have found any added value in the
collaboration with our students and look forward to receiving their feedback at the end of the projects work."

Would you consider the engagement of students as a useful strategy to support (content-wise)
the sustainability of CASIPEDIA?
"Perhaps, but I believe that some peer review processes will be needed to ensure the quality of inputs."
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MML Interview on CASI-F benefits and impacts from a CASI country

correspondents perspective

Interview with Edgaras Leichteris CASI Country Correspondent for Lithuania

By Monika Popper

The final version of CASI-F (Popper et al., 2017) presents the common framework for the assessment and
management of sustainable innovation as a five-step approach consisting of:
Step 1: sustainability relevance and scanning (i.e. case nomination)
Step 2: multi-criteria analysis and assessment (i.e. case mapping)
Step 3: critical issue analysis and assessment (i.e. assessing critical issues)
Step 4: multi-level advice management (i.e. developing multi-level actions)
Step 5: action roadmaps management (i.e. developing multi-dimensional responses)

In your opinion, can this qualitative five-step approach improve the assessment and management
of sustainable innovations by complementing existing quantitative tools and methods (e.g. Life
Cycle Assessment and derived sub-sets)? If so, how?
Definitely! To me it is a good example of the practical implementation of a multi-level governance approach, very well
structured and implemented in a clear and consistent manner, giving a much broader perspective than Life Cycle
Assessment and similar, which helps to better involve stakeholders.

In your opinion, how did the CASI online mapping environment (CASIPEDIA) facilitate the
assessment of the selected SI initiatives? Were the mapping forms useful in structuring, obtaining
and bringing together dierent pieces of an SI 'jigsaw'? Did they capture its complexity and
ambiguity, influenced by multiple criteria and the interaction of multiple stakeholders?
CASIPEDIA is a very important tool, which needs to be constantly updated in the future, in order not to lose
momentum. Identified cases become obsolete with time, so this system needs to be a living system constantly fed
with new cases. Mapping forms could be simplified a little bit they really have all the right angles for putting dierent
pieces of an SI jigsaw together, but the complexity is high. It may be dicult to sustain the quality of CASIPEDIA
over time without investment and eort. Such investment will be necessary from time to time to improve quality, but at
the same time important to ensure a continuous flow of new information into the database.

Do you think the online mapping environment with interconnected modules - i.e. information
mapped in CASIPEDIA being automatically extracted to feed the 'Ideas Bank' and the 'Actions and
Roadmaps Bank' with critical issues, actions and sub-actions to improve the management of SI -
is a useful tool to support R&I projects and activities?
Although I havent explored these additional features of CASI-F much, I think it is a good idea to have such interconnected
modules, but to me CASIPEDIA and the availability of raw information about SI cases is a much more important tool.

In your opinion, does the mapping environment eectively support mutual learning and the co-creation
and co-exploitation of knowledge (e.g. through bottom-up and crowd-sourced mapping of SI)?
Definitely! I am constantly sharing the methodological framework created by the CASI project with our international
partners. Most recently (February 2017), I presented CASI-F to the methodological leaders of the HoCare project
http://www.interregeurope. eu/hocare/. They can now think about some potential cooperation and transferring the
methodology to the healthcare innovation sector. Then in March, it was presented at the Interregional meeting of the SUPER
project http://www.interregeurope.eu/super/, which deals with eco-innovations. Participants were very interested in the
CASI Framework and the database of cases. These two examples show that mutual learning has already started.
 C A S I - F :C O M M O NF R A M E W O R KF O RT H EA S S E S S M E N TA N D
92 M A N A G E M E N TO FS U S T A I N A B L EI N N O V A T I O N

MML Interview on CASI-F benefits and impacts from an innovators perspective

Interview with Antonios Lygidakis Co-founder of ECOverified (SI case

mapped/ piloted by CASI)

By Monika Popper

An innovators account of the five steps of CASI-F:

Step 1: using CASI-F protocols and tools for sustainability relevance and scanning (case nomination)

Your case was recognised and nominated as an example of sustainable innovation addressing the
issue of sustainable tourism, oering a Certified Eco Label. Are you still pursuing the same
objectives and are you aware of other initiatives addressing the same?
We are still working under the same environmental principles but our direction has changed. This happened because
our competition is well established in the field, creating a monopoly. However, our team is equipped with technical
knowledge and we are now aiding global green projects on sustainable energy and environmental protection. We are
also advising funding bodies on the potential impact of their investments.

Step 2: using CASI-F protocols and tools for multi-criteria analysis and assessment (case mapping)

The nature of sustainable innovation is indeed very complex and not yet fully understood. There
are many elements ('pieces of a jigsaw') that need to be considered for the innovation to become
successful. Did the mapping exercise help you bring these pieces together so that you could
identify gaps and areas of strength?
The mapping helped us identify potential problems that we previously thought were not important. We have used the
mapping forms to codify strategic responses to barriers, weaknesses and threats, as well as strengths and
opportunities identified during the interviews. We then used the mapping tool CASIPEDIA to further describe the most
important critical issues. During our meetings with the CASI team from the University of Manchester, strategic ideas
were also proposed in face to face discussions that we later implemented.

Step 3: using protocols and tools for critical issue analysis and assessment (assessing barriers, threats,
opportunities and drivers that can positively or negatively influence/impact the innovation)

Using CASI-F, have you identified any important issues that you did not realise or think of before?
We got several ideas during the interview, as mentioned above, when brainstorming on potential critical issues and
solutions. One of them was the incorporation of a mobile phone app that would create user incentives on environmental
issues. On the whole, we want to thank the University of Manchester CASI team for the consulting and discussions they
provided. They made us think in a more commercial way and better understand the needs of the market.

Step 4: using protocols and tools for multi-level advice management (developing actions for dierent
stakeholders at dierent levels)

Did the actions support more eective implementation of your initiative? By, perhaps, thinking
about the roles and interaction between dierent stakeholders at dierent levels?
As I mentioned previously, we are not functioning towards the same direction anymore. The discussion we had with
the CASI team during our interviews made us realise some potential routes we should follow and threats we should
take into consideration. From that day onward we tried to deal with problems more eciently and identified some
dead ends. Therefore, the shi" in our direction happened sooner rather than later with a minimal impact because of
the consulting we received. This mobilisation and mutual learning approach the CASI team followed with our team
proved to be advantageous for our companys survival.

Step 5: using protocols and tools for action roadmaps management (developing more detailed sub-actions for
the selected action)

Have you implemented the roadmap or at least some of the sub-actions from the roadmap?
We have implemented most of the roadmaps sub-actions. Some of them were not considered unique projects
before CASI mapping. They were later treated exclusively with great success.
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